{ "catalog_id": "v2-final", "generated_at": "2025-11-23", "stats": { "raw_count": 1495, "deduped_count": 1395, "merges": 98 }, "rules": [ { "rule_id": "LPO-001", "title": "On-Site Inspections", "rule_type": "power", "summary": "The Competent Authority may conduct on-site inspections with or without prior notice.", "core_obligation": { "actor": "Competent Authority", "action": "conduct on-site inspections", "modality": "may", "object": "premises and facilities", "conditions": [ "with or without prior notice" ] }, "applicability": "All activities covered by the Act subject to regulatory oversight.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.1", "text_snippet": "Conduct on-site inspections, with or without prior notice. [ML Corruption, Section 28.II.29; ML Environmental Liability, Section 79.I.a]" } }, { "rule_id": "LPO-002", "title": "Entry and Inspection of Premises", "rule_type": "power", "summary": "The Competent Authority may enter and inspect premises, including private spaces with judicial authorization.", "core_obligation": { "actor": "Competent Authority", "action": "enter and inspect premises", "modality": "may", "object": "premises including private spaces", "conditions": [ "judicial authorization required for private spaces" ] }, "applicability": "All premises related to activities covered by the Act.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.2", "text_snippet": "Enter and inspect premises, including private spaces with judicial authorization. [ML Corruption, Section 28.II.17; ML Alcohol-Cannabis-Tobacco, Section 69.I.s]" } }, { "rule_id": "LPO-003", "title": "Information Requests from Third Parties", "rule_type": "power", "summary": "The Competent Authority may request information related to activities covered by the Act from third parties or entities in foreign countries.", "core_obligation": { "actor": "Competent Authority", "action": "request information", "modality": "may", "object": "information related to activities covered by the Act", "conditions": [ "may be requested from third parties", "may be requested from foreign entities" ] }, "applicability": "All activities covered by the Act, including cross-border information gathering.", "severity": "medium", "category": "Information Gathering", "source_ref": { "page": 2, "clause": "Section A.3", "text_snippet": "Request information related to activities covered by the Act, even from third parties or entities located in foreign countries. [ML Corruption, Section 28.II.1; ML Alcohol-Cannabis-Tobacco, Section 69.I.a]" } }, { "rule_id": "LPO-004", "title": "Investigation and Inspection of Records", "rule_type": "power", "summary": "The Competent Authority may investigate and inspect accounts, books, documents, or other articles.", "core_obligation": { "actor": "Competent Authority", "action": "investigate and inspect", "modality": "may", "object": "accounts, books, documents, or other articles", "conditions": [] }, "applicability": "All regulated entities maintaining records related to activities covered by the Act.", "severity": "medium", "category": "Information Gathering", "source_ref": { "page": 2, "clause": "Section A.4", "text_snippet": "Investigate and inspect accounts, books, documents, or other articles. [ML Corruption, Section 28.II.1; ML Alcohol-Cannabis-Tobacco, Section 69.I.a]" } }, { "rule_id": "LPO-005", "title": "Production and Copying of Documents", "rule_type": "power", "summary": "The Competent Authority may require any person to produce accounts, books, documents, and may take copies or photographs.", "core_obligation": { "actor": "Competent Authority", "action": "require production of documents and take copies", "modality": "may", "object": "accounts, books, documents", "conditions": [ "may take copies or photographs" ] }, "applicability": "Any person possessing documents relevant to activities covered by the Act.", "severity": "medium", "category": "Information Gathering", "source_ref": { "page": 2, "clause": "Section A.5", "text_snippet": "Require from any person the production of accounts, books, documents, and take copies or make photographs. [ML Corruption, Section 28.II.2; ML Alcohol-Cannabis-Tobacco, Section 69.I.b]" } }, { "rule_id": "LPO-006", "title": "Data and Software Analysis", "rule_type": "power", "summary": "The Competent Authority may take copies of and analyse data and software related to activities covered by the Act.", "core_obligation": { "actor": "Competent Authority", "action": "copy and analyse data and software", "modality": "may", "object": "data and software", "conditions": [ "related to activities covered by the Act" ] }, "applicability": "All digital systems and software used in activities covered by the Act.", "severity": "medium", "category": "Information Gathering", "source_ref": { "page": 2, "clause": "Section A.6", "text_snippet": "Take copies of and analyse data and software related to activities covered by the Act. [ML Corruption, Section 28.II.18; ML Alcohol-Cannabis-Tobacco, Section 69.I.t]" } }, { "rule_id": "LPO-007", "title": "Data Decoding Requirement", "rule_type": "power", "summary": "The Competent Authority may request the conversion of encoded data into human-readable information.", "core_obligation": { "actor": "Competent Authority", "action": "request conversion of encoded data", "modality": "may", "object": "encoded data", "conditions": [ "must be converted into human-readable format" ] }, "applicability": "All encoded or encrypted data relevant to activities covered by the Act.", "severity": "medium", "category": "Information Gathering", "source_ref": { "page": 2, "clause": "Section A.7", "text_snippet": "Request the conversion of encoded data into information readable for humans. [ML Corruption, Section 28.II.4; ML Alcohol-Cannabis-Tobacco, Section 69.I.d]" } }, { "rule_id": "LPO-008", "title": "Seizure of Evidence", "rule_type": "power", "summary": "The Competent Authority may seize relevant data, documents or other evidence.", "core_obligation": { "actor": "Competent Authority", "action": "seize evidence", "modality": "may", "object": "data, documents or other evidence", "conditions": [ "must be relevant to enforcement activities" ] }, "applicability": "All evidence relevant to potential violations of the Act.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.8", "text_snippet": "Seize relevant data, documents or other evidence. [ML Corruption, Section 28.II.30; ML Environmental Liability, Section 79.I.b]" } }, { "rule_id": "LPO-009", "title": "Cessation Orders", "rule_type": "power", "summary": "The Competent Authority may order the cessation of any activity that interferes with monitoring or enforcement compliance.", "core_obligation": { "actor": "Competent Authority", "action": "order cessation of activity", "modality": "may", "object": "interfering activities", "conditions": [ "activity must interfere with authority's monitoring or enforcement ability" ] }, "applicability": "Any activity that obstructs or interferes with regulatory oversight.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.9", "text_snippet": "Order the cessation of any activity that interferes with the authority's ability to monitor or enforce compliance. [Hong Kong: Environmental Impact Assessment Ordinance, Cap. 499, Section 5]" } }, { "rule_id": "LPO-010", "title": "Stakeholder Consultation", "rule_type": "power", "summary": "The Competent Authority may convene stakeholder advisory groups and conduct public consultations.", "core_obligation": { "actor": "Competent Authority", "action": "convene advisory groups and conduct consultations", "modality": "may", "object": "stakeholder advisory groups and public consultations", "conditions": [] }, "applicability": "Policy development and regulatory decision-making processes.", "severity": "low", "category": "Stakeholder Engagement", "source_ref": { "page": 2, "clause": "Section A.10", "text_snippet": "Convene stakeholder advisory groups and conduct public consultations. [ML Corruption, Section 28.II.40; ML Alcohol-Cannabis-Tobacco, Section 69.I.pppp]" } }, { "rule_id": "LPO-011", "title": "Witness Subpoena", "rule_type": "power", "summary": "The Competent Authority may compel attendance of witnesses, including third parties, to provide evidence under subpoena.", "core_obligation": { "actor": "Competent Authority", "action": "compel witness attendance", "modality": "may", "object": "witnesses including third parties", "conditions": [ "under subpoena" ] }, "applicability": "All investigations requiring witness testimony.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.11", "text_snippet": "Compel attendance of witnesses, including third parties, to provide evidence under subpoena. [ML Corruption, Section 28.II.19; ML Alcohol-Cannabis-Tobacco, Section 69.I.q]" } }, { "rule_id": "LPO-012", "title": "Witness Interviews and Record Production", "rule_type": "power", "summary": "The Competent Authority may interview witnesses and require the production of records, including financial records.", "core_obligation": { "actor": "Competent Authority", "action": "interview witnesses and require record production", "modality": "may", "object": "witnesses and records including financial records", "conditions": [] }, "applicability": "All investigations requiring witness statements and documentary evidence.", "severity": "medium", "category": "Information Gathering", "source_ref": { "page": 2, "clause": "Section A.12", "text_snippet": "Interview witnesses and require the production of records, including financial records. [ML Corruption, Section 28.II.31; ML Environmental Liability, Section 79.I.c]" } }, { "rule_id": "LPO-013", "title": "AI and Advanced Technology for Detection", "rule_type": "power", "summary": "The Competent Authority may use artificial intelligence and other advanced technological means for detection and analysis of infringements.", "core_obligation": { "actor": "Competent Authority", "action": "use AI and advanced technology", "modality": "may", "object": "detection and analysis systems", "conditions": [ "for detecting infringements by regulated entities or actors" ] }, "applicability": "All compliance monitoring and enforcement activities.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.13", "text_snippet": "Use artificial intelligence and other advanced technological means for detection and analysis of infringements committed by regulated entities or actors. [ML Corruption, Section 28.II.77; ML Alcohol-Cannabis-Tobacco, Section 69.I.x]" } }, { "rule_id": "LPO-014", "title": "Surveillance Activities", "rule_type": "power", "summary": "The Competent Authority may conduct surveillance activities to detect potential infringements by regulated entities or actors.", "core_obligation": { "actor": "Competent Authority", "action": "conduct surveillance", "modality": "may", "object": "regulated entities or actors", "conditions": [ "to detect potential infringements" ] }, "applicability": "All regulated entities suspected of non-compliance.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.14", "text_snippet": "Conduct surveillance activities to detect potential infringements committed by regulated entities or actors. [ML Corruption, Section 28.II.50; ML Alcohol-Cannabis-Tobacco, Section 69.I.u]" } }, { "rule_id": "LPO-015", "title": "High-Risk Activity Record Maintenance Order", "rule_type": "power", "summary": "The Competent Authority may order the creation and maintenance of detailed records related to high-risk activities.", "core_obligation": { "actor": "Competent Authority", "action": "order creation and maintenance of records", "modality": "may", "object": "detailed records", "conditions": [ "related to high-risk activities" ] }, "applicability": "Entities engaged in high-risk activities as defined by the Act.", "severity": "medium", "category": "Compliance", "source_ref": { "page": 2, "clause": "Section A.15", "text_snippet": "Order the creation and maintenance of detailed records related to high-risk activities. [ML Corruption, Section 28.II.98; ML Alcohol-Cannabis-Tobacco, Section 69.I.vv]" } }, { "rule_id": "LPO-016", "title": "Undercover Investigations", "rule_type": "power", "summary": "The Competent Authority may deploy undercover investigators to gather evidence of suspected infringements.", "core_obligation": { "actor": "Competent Authority", "action": "deploy undercover investigators", "modality": "may", "object": "undercover investigators", "conditions": [ "to gather evidence of suspected infringements" ] }, "applicability": "Investigations of suspected serious violations requiring covert operations.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.16", "text_snippet": "Deploy undercover investigators to gather evidence of suspected infringements. [Criminal Investigation (Covert Operations) Act 2009 of South Australia, Section 4(1)]" } }, { "rule_id": "LPO-017", "title": "Unmanned Vehicle Surveillance", "rule_type": "power", "summary": "The Competent Authority may use unmanned vehicle technologies for surveillance of regulated activities.", "core_obligation": { "actor": "Competent Authority", "action": "use unmanned vehicle technologies", "modality": "may", "object": "surveillance systems", "conditions": [ "for surveillance of regulated activities" ] }, "applicability": "All regulated activities requiring remote or aerial monitoring.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.17", "text_snippet": "Use unmanned vehicle technologies for surveillance of regulated activities. [India Drone Rules 2021]" } }, { "rule_id": "LPO-018", "title": "Satellite Technology Monitoring", "rule_type": "power", "summary": "The Competent Authority may use satellite technologies for compliance monitoring.", "core_obligation": { "actor": "Competent Authority", "action": "use satellite technologies", "modality": "may", "object": "satellite monitoring systems", "conditions": [ "for compliance monitoring" ] }, "applicability": "Large-scale or geographically dispersed activities requiring remote sensing.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 2, "clause": "Section A.18", "text_snippet": "Use satellite technologies for compliance monitoring. [UK Deforestation Regulation" } }, { "rule_id": "LPO-019", "title": "Incident Response Planning and Testing Requirements", "rule_type": "obligation", "summary": "Regulatory authority may impose requirements for incident response planning and testing on regulated entities.", "core_obligation": { "actor": "Regulated Entity", "action": "implement incident response planning and testing", "modality": "must", "object": "incident response plans and testing procedures", "conditions": [ "when required by regulatory authority" ] }, "applicability": "All regulated entities subject to information security requirements.", "severity": "medium", "category": "Information Security", "source_ref": { "page": 3, "clause": "Item 19", "text_snippet": "Impose requirements for incident response planning and testing. [US Federal Information Security Modernization Act, Section 3554; EU GDPR, Article 32]" } }, { "rule_id": "LPO-020", "title": "Submission of Compliance Plans", "rule_type": "obligation", "summary": "Regulatory authority may require submission of plans or programs to address non-compliance or prevent future infringements.", "core_obligation": { "actor": "Regulated Entity", "action": "submit plans or programs", "modality": "must", "object": "compliance plans or remediation programs", "conditions": [ "to address non-compliance", "to prevent future infringements" ] }, "applicability": "Entities found in non-compliance or at risk of infringement.", "severity": "medium", "category": "Compliance", "source_ref": { "page": 3, "clause": "Item 20", "text_snippet": "Require the submission of plans or programs to address non-compliance or prevent future infringements. [New Zealand: Resource Management Act 1991, Section 35]" } }, { "rule_id": "LPO-021", "title": "Financial Guarantees for Compliance", "rule_type": "obligation", "summary": "Regulatory authority may require provision of financial guarantees to ensure compliance.", "core_obligation": { "actor": "Regulated Entity", "action": "provide financial guarantees", "modality": "must", "object": "financial guarantees", "conditions": [ "to ensure compliance" ] }, "applicability": "Entities in high-risk sectors or with compliance concerns.", "severity": "high", "category": "Financial Compliance", "source_ref": { "page": 3, "clause": "Item 21", "text_snippet": "Require the provision of financial guarantees to ensure compliance. [Directive 2013/30/EU on the safety of offshore oil and gas operations, Article 21]" } }, { "rule_id": "LPO-022", "title": "Domain Confiscation Power", "rule_type": "power", "summary": "Regulatory authority may order confiscation of a domain and request domain registrar cooperation.", "core_obligation": { "actor": "Regulatory Authority", "action": "order domain confiscation", "modality": "may", "object": "domain name", "conditions": [ "request registrar cooperation" ] }, "applicability": "Cases involving domain-based infringements.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 22", "text_snippet": "Order the confiscation of a domain and request the domain registrar to cooperate for such confiscation. [ML Alcohol-Cannabis-Tobacco, Section 69.I.e]" } }, { "rule_id": "LPO-023", "title": "Facility Closure for Grave Infringements", "rule_type": "sanction", "summary": "Regulatory authority may close facilities of infringing persons in cases of particularly grave or repetitive deliberate infringements.", "core_obligation": { "actor": "Regulatory Authority", "action": "close facilities", "modality": "may", "object": "facilities of infringing persons", "conditions": [ "particularly grave infringements", "repetitive deliberate infringements" ] }, "applicability": "Cases of severe or repeated deliberate violations.", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 23", "text_snippet": "Close the facilities of infringing persons in cases of particularly grave or repetitive deliberate infringements. [U.S. Food, Drug, and Cosmetic Act, Section 303; UK Proceeds of Crime Act 2002, Section 245A; ML Animal Protection, Section 80.IV.j]" } }, { "rule_id": "LPO-024", "title": "Winding Up of Undertaking", "rule_type": "sanction", "summary": "Regulatory authority may order the winding up of an undertaking as a last resort measure.", "core_obligation": { "actor": "Regulatory Authority", "action": "order winding up", "modality": "may", "object": "undertaking", "conditions": [ "as a last resort" ] }, "applicability": "Extreme cases where other remedies have failed or are insufficient.", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 24", "text_snippet": "Order the winding up of an undertaking as a last resort. [ML Corruption, Section 28.II.43; ML Alcohol-Cannabis-Tobacco, Section 69.I.j]" } }, { "rule_id": "LPO-025", "title": "Dissolution of Legal Entity", "rule_type": "sanction", "summary": "Regulatory authority may order the dissolution of the legal entity/person responsible for offenses.", "core_obligation": { "actor": "Regulatory Authority", "action": "order dissolution", "modality": "may", "object": "legal entity or person", "conditions": [ "responsible for offenses" ] }, "applicability": "Legal entities found responsible for serious offenses.", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 25", "text_snippet": "Order the dissolution of the legal entity/person responsible for offenses. [ML Corruption, Section 45.IV.12; ML Alcohol-Cannabis-Tobacco, Section 69.I.j; U.S. Clayton Act, Section 7; U.K. Insolvency Act, Section 124A]" } }, { "rule_id": "LPO-026", "title": "Business Activity Separation", "rule_type": "power", "summary": "Regulatory authority may order the separation of certain business activities to prevent conflicts of interest.", "core_obligation": { "actor": "Regulatory Authority", "action": "order separation of business activities", "modality": "may", "object": "business activities", "conditions": [ "to prevent conflicts of interest" ] }, "applicability": "Entities with identified conflicts of interest.", "severity": "high", "category": "Structural Remedies", "source_ref": { "page": 3, "clause": "Item 26", "text_snippet": "Order the separation of certain business activities to prevent conflicts of interest. [U.S. Glass-Steagall Act of 1933 (repealed), but concept still applied in financial regulations]" } }, { "rule_id": "LPO-027", "title": "Corporate Governance Structure Changes", "rule_type": "power", "summary": "Regulatory authority may mandate changes in corporate governance structure.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate governance changes", "modality": "may", "object": "corporate governance structure", "conditions": [] }, "applicability": "Entities with governance deficiencies or compliance failures.", "severity": "high", "category": "Structural Remedies", "source_ref": { "page": 3, "clause": "Item 27", "text_snippet": "Mandate changes in corporate governance structure. [U.S. Sarbanes-Oxley Act of 2002, Section 301; U.S. Bankruptcy Code, Section 1123]" } }, { "rule_id": "LPO-028", "title": "Divestment of Assets Used in Infringements", "rule_type": "sanction", "summary": "Regulatory authority may order the divestment of certain business units or assets that have been used in the commission of infringements.", "core_obligation": { "actor": "Regulatory Authority", "action": "order divestment", "modality": "may", "object": "business units or assets", "conditions": [ "used in commission of infringements" ] }, "applicability": "Cases where specific assets were instrumental in violations.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 28", "text_snippet": "Order the divestment of certain business units or assets that have been used in the commission of infringements. [ML Corruption, Section 28.II.95]" } }, { "rule_id": "LPO-029", "title": "Judicial Administration Placement", "rule_type": "sanction", "summary": "Regulatory authority may place the offending entity under judicial administration.", "core_obligation": { "actor": "Regulatory Authority", "action": "place under judicial administration", "modality": "may", "object": "offending entity", "conditions": [] }, "applicability": "Serious cases requiring external oversight and control.", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 29", "text_snippet": "Place the offending entity under judicial administration. [ML Corruption, Section 45.IV.12; ML Alcohol-Cannabis-Tobacco, Section 69.I.i]" } }, { "rule_id": "LPO-030", "title": "Mandatory Employee Training Programs", "rule_type": "obligation", "summary": "Regulatory authority may impose mandatory training programs for employees of infringing entities.", "core_obligation": { "actor": "Infringing Entity", "action": "implement mandatory training programs", "modality": "must", "object": "employee training programs", "conditions": [ "for employees of infringing entities" ] }, "applicability": "Entities found in violation where employee training can prevent recurrence.", "severity": "medium", "category": "Remedial Measures", "source_ref": { "page": 3, "clause": "Item 30", "text_snippet": "Impose mandatory training programs for employees of infringing entities [ML Corruption, Section 28.II.88; ML Alcohol-Cannabis-Tobacco, Section 69.I.nnnn]" } }, { "rule_id": "LPO-031", "title": "Funding of Research or Education Initiatives", "rule_type": "sanction", "summary": "Regulatory authority may order the offender to fund research or education initiatives related to the infringement.", "core_obligation": { "actor": "Regulatory Authority", "action": "order funding of initiatives", "modality": "may", "object": "research or education initiatives", "conditions": [ "related to the infringement" ] }, "applicability": "Cases where public education or research would serve remedial purposes.", "severity": "medium", "category": "Remedial Measures", "source_ref": { "page": 3, "clause": "Item 31", "text_snippet": "Order the offender to fund research or education initiatives related to the infringement. [Extrapolated]" } }, { "rule_id": "LPO-032", "title": "Predictive Analytics for Risk Identification", "rule_type": "power", "summary": "Regulatory authority may use predictive analytics to identify potential future infringements and/or other relevant events and changes.", "core_obligation": { "actor": "Regulatory Authority", "action": "use predictive analytics", "modality": "may", "object": "predictive analytics tools", "conditions": [ "to identify potential future infringements", "to identify relevant events and changes" ] }, "applicability": "Proactive monitoring and risk assessment activities.", "severity": "low", "category": "Monitoring", "source_ref": { "page": 3, "clause": "Item 32", "text_snippet": "Use predictive analytics to identify potential future infringements and/or other relevant events and changes. [Extrapolated]" } }, { "rule_id": "LPO-033", "title": "Court Orders to Compel Cooperation", "rule_type": "power", "summary": "Regulatory authority may seek court orders to compel cooperation if a person or entity fails to comply with an investigative request.", "core_obligation": { "actor": "Regulatory Authority", "action": "seek court orders", "modality": "may", "object": "court orders to compel cooperation", "conditions": [ "if person or entity fails to comply with investigative request" ] }, "applicability": "Investigations where voluntary cooperation is not forthcoming.", "severity": "high", "category": "Investigation", "source_ref": { "page": 3, "clause": "Item 33", "text_snippet": "Seek court orders to compel cooperation if a person or entity fails to comply with an investigative request. [ML Corruption, Section 28.II.32; ML Alcohol-Cannabis-Tobacco, Section 69.I.ssss]" } }, { "rule_id": "LPO-034", "title": "Settlement Agreements", "rule_type": "power", "summary": "Regulatory authority may enter into settlement agreements with entities under investigation.", "core_obligation": { "actor": "Regulatory Authority", "action": "enter into settlement agreements", "modality": "may", "object": "settlement agreements", "conditions": [ "with entities under investigation" ] }, "applicability": "Investigations where negotiated resolution is appropriate.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 3, "clause": "Item 34", "text_snippet": "Enter into settlement agreements with entities under investigation. [ML Corruption, Section 28.II.38; ML Alcohol-Cannabis-Tobacco, Section 69.I.rrrr]" } }, { "rule_id": "LPO-035", "title": "Provision of Compliance Training and Education", "rule_type": "power", "summary": "Regulatory authority may provide training and education on compliance for regulated entities or individuals.", "core_obligation": { "actor": "Regulatory Authority", "action": "provide training and education", "modality": "may", "object": "compliance training and education", "conditions": [ "for regulated entities or individuals" ] }, "applicability": "All regulated entities and individuals.", "severity": "low", "category": "Education", "source_ref": { "page": 3, "clause": "Item 35", "text_snippet": "Provide training and education on compliance for regulated entities or individuals [Canada: Food and Drug Regulations, C.R.C., c. 870, s. 32; ML Corruption, Section 28.II.35; ML Alcohol-Cannabis-Tobacco, Section 69.I.mmmm]" } }, { "rule_id": "LPO-036", "title": "Delegation of Powers to Other Authorities", "rule_type": "power", "summary": "Regulatory authority may delegate empowerments to other or local authorities.", "core_obligation": { "actor": "Regulatory Authority", "action": "delegate empowerments", "modality": "may", "object": "regulatory powers", "conditions": [ "to other or local authorities" ] }, "applicability": "Administrative arrangements for regulatory efficiency.", "severity": "low", "category": "Administration", "source_ref": { "page": 3, "clause": "Item 36", "text_snippet": "Delegate empowerments to other or local authorities. [ML Corruption, Section 28.II.28; ML Alcohol-Cannabis-Tobacco, Section 69.I.uuuu]" } }, { "rule_id": "LPO-037", "title": "Public Inquiry or Investigation", "rule_type": "power", "summary": "Regulatory authority may order the establishment of a public inquiry or investigation into a matter of public interest or concern.", "core_obligation": { "actor": "Regulatory Authority", "action": "order establishment of public inquiry", "modality": "may", "object": "public inquiry or investigation", "conditions": [ "into matter of public interest or concern" ] }, "applicability": "Matters requiring public scrutiny or broad investigation.", "severity": "medium", "category": "Investigation", "source_ref": { "page": 3, "clause": "Item 37", "text_snippet": "Order the establishment of a public inquiry or investigation into a matter of public interest or concern. [Singapore: Commissions of Inquiry Act, Chapter 50, Section 3]" } }, { "rule_id": "LPO-131", "title": "Technical Assistance to Affected Parties", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must provide technical assistance or support to affected parties or the public.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "provide technical assistance or support", "modality": "may mandate / must", "object": "affected parties or the public", "conditions": [] }, "applicability": "Entities subject to damage reduction and compensation requirements.", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 9, "clause": "Section 131", "text_snippet": "Provide technical assistance or support to affected parties or the public. [New Zealand: Hazardous Substances and New Organisms Act 1996, Section 107]" } }, { "rule_id": "LPO-132", "title": "Consumer Redress Scheme Establishment", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must establish a consumer redress scheme.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "establish", "modality": "may mandate / must", "object": "consumer redress scheme", "conditions": [] }, "applicability": "Entities involved in conflicts requiring consumer compensation mechanisms.", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 9, "clause": "Section 132", "text_snippet": "Establish a consumer redress scheme. [United Kingdom: Financial Services and Markets Act 2000, Section 404]" } }, { "rule_id": "LPO-133", "title": "Dispute Resolution Mechanism", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must establish a dispute resolution mechanism or process.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "establish", "modality": "may mandate / must", "object": "dispute resolution mechanism or process", "conditions": [] }, "applicability": "Entities required to provide formal dispute resolution channels.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 9, "clause": "Section 133", "text_snippet": "Establish a dispute resolution mechanism or process. [Singapore: Electronic Transactions Act, Chapter 88, Section 20]" } }, { "rule_id": "LPO-134", "title": "Specific Conflict Resolution Processes", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must use specific conflict resolution or mediation processes.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "use", "modality": "may mandate / must", "object": "specific conflict resolution or mediation processes", "conditions": [] }, "applicability": "Entities engaged in conflict resolution activities.", "severity": "medium", "category": "Dispute Resolution", "source_ref": { "page": 9, "clause": "Section 134", "text_snippet": "Use a specific conflict resolution or mediation processes. [New Zealand: Residential Tenancies Act 1986, Section 162; EU: Directive 2008/52/EC on certain aspects of mediation in civil and commercial matters, Article 4]" } }, { "rule_id": "LPO-135", "title": "Consumer Ombudsman Positions", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must create consumer ombudsman positions within infringing entities.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "create", "modality": "may mandate / must", "object": "consumer ombudsman positions", "conditions": [ "within infringing entities" ] }, "applicability": "Infringing entities subject to enhanced consumer protection oversight.", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 9, "clause": "Section 135", "text_snippet": "Create consumer ombudsman positions within infringing entities. [Swedish Consumer Agency Act, Section 12; ML Corruption, Section 28.II.121; ML Alcohol-Cannabis-Tobacco, Section 69.I.yyyy]" } }, { "rule_id": "LPO-136", "title": "Information Disclosure to Affected Parties", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must disclose information to affected parties or the public.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "disclose", "modality": "may mandate / must", "object": "information", "conditions": [ "to affected parties or the public" ] }, "applicability": "Entities holding information relevant to affected parties or public interest.", "severity": "high", "category": "Transparency", "source_ref": { "page": 9, "clause": "Section 136", "text_snippet": "Disclose information to affected parties or the public. [Canada: Personal Information Protection and Electronic Documents Act, S.C. 2000, c. 5, s. 8; Hong Kong: Control of Exemption Clauses Ordinance, Cap. 71, Section 5]" } }, { "rule_id": "LPO-137", "title": "Media and Public Assistance", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must provide information or assistance to the media or the public.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "provide information or assistance", "modality": "may mandate / must", "object": "the media or the public", "conditions": [] }, "applicability": "Entities with public communication obligations.", "severity": "medium", "category": "Public Information", "source_ref": { "page": 9, "clause": "Section 137", "text_snippet": "Provide information or assistance to the media or the public. [South Korea: Act on the Protection of and Support for Victims of Crime, Article 21]" } }, { "rule_id": "LPO-138", "title": "Client Rights Information Obligation", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must inform clients of non-compliant actors about their rights and applicable legal requirements.", "core_obligation": { "actor": "Competent Authority / Private Actor", "action": "inform", "modality": "may mandate / must", "object": "clients of non-compliant actors", "conditions": [ "about their rights and applicable legal requirements" ] }, "applicability": "Entities dealing with clients of non-compliant actors.", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 9, "clause": "Section 138", "text_snippet": "Inform clients of non-compliant actors about their rights and applicable legal requirements. [ML Corruption, Section 28.II.25; ML Alcohol-Cannabis-Tobacco, Section 69.I.oooo]" } }, { "rule_id": "LPO-139", "title": "Cost Reimbursement for Authority Actions", "rule_type": "obligation", "summary": "The Competent Authority may mandate, or the private actor must reimburse costs incurred by the authority in investigating or remedying the infringement.", "core_obligation": { "actor": "Private Actor", "action": "reimburse", "modality": "must", "object": "costs incurred by the authority", "conditions": [ "in investigating or remedying the infringement" ] }, "applicability": "Entities subject to enforcement actions requiring investigation or remediation.", "severity": "high", "category": "Financial Remediation", "source_ref": { "page": 9, "clause": "Section 139", "text_snippet": "Reimburse costs incurred by the authority in investigating or remedying the infringement. [South Korea: Soil Environment Conservation Act, Article 38]" } }, { "rule_id": "LPO-140", "title": "Cross-Border Enforcement Cooperation", "rule_type": "power", "summary": "The Competent Authority may cooperate with international counterparts on cross-border enforcement matters.", "core_obligation": { "actor": "Competent Authority", "action": "cooperate with international counterparts on cross-border enforcement", "modality": "may", "object": "cross-border enforcement cooperation", "conditions": [] }, "applicability": "Competent Authority in international enforcement contexts.", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "140", "text_snippet": "Cooperate with international counterparts on cross-border enforcement. [ML Corruption, Section 28.II.36; ML Alcohol-Cannabis-Tobacco, Section 69.I.yyy]" } }, { "rule_id": "LPO-141", "title": "Information Dissemination to Foreign Authorities", "rule_type": "power", "summary": "The Competent Authority may disseminate information on infringements to authorities of other jurisdictions.", "core_obligation": { "actor": "Competent Authority", "action": "disseminate information on infringements", "modality": "may", "object": "information on infringements", "conditions": [ "to authorities of other jurisdictions" ] }, "applicability": "Competent Authority when sharing infringement information internationally.", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "141", "text_snippet": "Disseminate information on infringements to authorities of other jurisdictions. [ML Corruption, Section 28.II.22; ML Alcohol-Cannabis-Tobacco, Section 69.I.zzz]" } }, { "rule_id": "LPO-142", "title": "Information-Sharing Protocols with Foreign Regulators", "rule_type": "power", "summary": "The Competent Authority may establish information-sharing protocols with foreign regulators for transnational investigations.", "core_obligation": { "actor": "Competent Authority", "action": "establish information-sharing protocols", "modality": "may", "object": "information-sharing protocols with foreign regulators", "conditions": [ "for transnational investigations" ] }, "applicability": "Competent Authority in transnational investigation contexts.", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "142", "text_snippet": "Establish information-sharing protocols with foreign regulators for transnational investigations. [Extrapolated from ML Corruption, Section 44]" } }, { "rule_id": "LPO-143", "title": "Cross-Border Task Force Creation", "rule_type": "power", "summary": "The Competent Authority may create cross-border task forces for coordinated enforcement actions.", "core_obligation": { "actor": "Competent Authority", "action": "create cross-border task forces", "modality": "may", "object": "cross-border task forces", "conditions": [ "for coordinated enforcement actions" ] }, "applicability": "Competent Authority for coordinated international enforcement.", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "143", "text_snippet": "Create cross-border task forces for coordinated enforcement actions. [Extrapolated from ML Corruption, Section 44]" } }, { "rule_id": "LPO-144", "title": "Peer Evaluation Program Participation", "rule_type": "power", "summary": "The Competent Authority may participate in peer evaluation programs with other competent authorities.", "core_obligation": { "actor": "Competent Authority", "action": "participate in peer evaluation programs", "modality": "may", "object": "peer evaluation programs", "conditions": [ "with other competent authorities" ] }, "applicability": "Competent Authority in international peer review contexts.", "severity": "low", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "144", "text_snippet": "Participate in peer evaluation programs with other competent authorities. [ML Corruption, Section 28.II.79; ML Alcohol-Cannabis-Tobacco, Section 69.I.aaaa]" } }, { "rule_id": "LPO-145", "title": "Shared Best Practices Database Development", "rule_type": "power", "summary": "The Competent Authority may develop shared databases of compliance best practices with international counterparts.", "core_obligation": { "actor": "Competent Authority", "action": "develop shared databases of compliance best practices", "modality": "may", "object": "shared databases of compliance best practices", "conditions": [ "with international counterparts" ] }, "applicability": "Competent Authority for international knowledge sharing.", "severity": "low", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "145", "text_snippet": "Develop shared databases of compliance best practices with international counterparts. [Extrapolated from ML Corruption, Section 44]" } }, { "rule_id": "LPO-146", "title": "Recognition and Enforcement of Foreign Decisions", "rule_type": "power", "summary": "The Competent Authority may apply to courts for orders recognizing and enforcing foreign decisions.", "core_obligation": { "actor": "Competent Authority", "action": "apply to courts for orders recognizing and enforcing foreign decisions", "modality": "may", "object": "court orders for recognition and enforcement of foreign decisions", "conditions": [] }, "applicability": "Competent Authority seeking enforcement of foreign regulatory decisions.", "severity": "high", "category": "International Cooperation", "source_ref": { "page": 9, "clause": "146", "text_snippet": "Apply to courts for orders recognizing and enforcing foreign decisions. [ML Corruption, Section 28.II.68; ML Alcohol-Cannabis-Tobacco, Section 69.I.tttt]" } }, { "rule_id": "LPO-147", "title": "Information Provision to International Organizations", "rule_type": "power", "summary": "The Competent Authority may order the provision of information or assistance to international organizations or foreign authorities.", "core_obligation": { "actor": "Competent Authority", "action": "order the provision of information or assistance", "modality": "may", "object": "information or assistance", "conditions": [ "to international organizations or foreign authorities" ] }, "applicability": "Competent Authority in international cooperation matters.", "severity": "medium", "category": "International Cooperation", "source_ref": [ { "page": 9, "clause": "147", "text_snippet": "Order the provision of information or assistance to international organizations or foreign authorities. [EU: Directive 2014/41/EU on the European Investigation Order in criminal matters, Article 10]", "_origin_rule_id": "LPO-147" }, { "page": 9, "clause": "148", "text_snippet": "Order the provision of information or assistance to other jurisdictions or regulatory authorities. [Singapore: Mutual Assistance in Criminal Matters Act, Chapter 185, Section 19]", "_origin_rule_id": "LPO-148" }, { "page": 9, "clause": "149", "text_snippet": "Order the provision of information or assistance to international organizations or foreign authorities in relation to transnational crimes or security threats. [Canada: Criminal Code, R.S.C., 1985, c. C-46, s. 83.28]", "_origin_rule_id": "LPO-149" } ], "_merge_count": 3 }, { "rule_id": "LPO-262", "title": "Power to Require Product Safety and Quality Control Measures", "rule_type": "power", "summary": "The Competent Authority may require the implementation of specific measures to ensure product safety and quality control.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of specific measures", "modality": "may", "object": "product safety and quality control measures", "conditions": [] }, "applicability": "Competent Authority in relation to products and goods under its jurisdiction.", "severity": "high", "category": "Product Safety and Quality Control", "source_ref": { "page": 16, "clause": "Item 262", "text_snippet": "Require the implementation of specific measures to ensure product safety and quality control. [ML Corruption, Section 28.II.129; ML Alcohol-Cannabis-Tobacco, Section 69.I.lll; U.S. Consumer Product Safety Act, Section 15]" } }, { "rule_id": "LPO-263", "title": "Power to Impose Product Recall Procedures", "rule_type": "power", "summary": "The Competent Authority may impose product recall procedures for non-compliant or dangerous products.", "core_obligation": { "actor": "Competent Authority", "action": "impose product recall procedures", "modality": "may", "object": "non-compliant or dangerous products", "conditions": [ "product is non-compliant or dangerous" ] }, "applicability": "Competent Authority when products are non-compliant or pose danger.", "severity": "high", "category": "Product Safety and Quality Control", "source_ref": { "page": 16, "clause": "Item 263", "text_snippet": "Impose product recall procedures for non-compliant or dangerous products. [ML Corruption, Section 28.II.119; ML Alcohol-Cannabis-Tobacco, Section 69.I.xxxx]" } }, { "rule_id": "LPO-264", "title": "Power to Impose Temporary Marketing or Distribution Ban", "rule_type": "power", "summary": "The Competent Authority may impose a temporary ban on the marketing or distribution of a product.", "core_obligation": { "actor": "Competent Authority", "action": "impose temporary ban", "modality": "may", "object": "marketing or distribution of a product", "conditions": [ "ban is temporary" ] }, "applicability": "Competent Authority in relation to product marketing and distribution.", "severity": "high", "category": "Market Restriction", "source_ref": { "page": 16, "clause": "Item 264", "text_snippet": "Impose a temporary ban on the marketing or distribution of a product. [Singapore: Sale of Food Act, Chapter 283, Section 16]" } }, { "rule_id": "LPO-265", "title": "Power to Order Product Recall or Disposal for Public Health/Safety Risks", "rule_type": "power", "summary": "The Competent Authority may order the recall or disposal of products that pose a risk to public health or safety.", "core_obligation": { "actor": "Competent Authority", "action": "order recall or disposal", "modality": "may", "object": "products posing risk to public health or safety", "conditions": [ "product poses risk to public health or safety" ] }, "applicability": "Competent Authority when products pose public health or safety risks.", "severity": "critical", "category": "Public Health and Safety", "source_ref": { "page": 16, "clause": "Item 265", "text_snippet": "Order the recall or disposal of products that pose a risk to public health or safety. [South Korea: Food Sanitation Act, Article 50]" } }, { "rule_id": "LPO-266", "title": "Power to Impose Import/Export Restrictions on Goods and Services", "rule_type": "power", "summary": "The Competent Authority may impose restrictions on the import or export of goods and services related to the infringement.", "core_obligation": { "actor": "Competent Authority", "action": "impose restrictions", "modality": "may", "object": "import or export of goods and services related to infringement", "conditions": [ "goods and services are related to an infringement" ] }, "applicability": "Competent Authority in cases of infringement involving goods or services.", "severity": "high", "category": "Trade Restriction", "source_ref": { "page": 16, "clause": "Item 266", "text_snippet": "Impose restrictions on the import or export of goods and related to the infringement. [EU: Regulation (EU) No 649/2012 concerning exports of certain goods and technologies to Iran, Article 11]" } }, { "rule_id": "LPO-267", "title": "Power to Require Compliance Labeling or Marking", "rule_type": "power", "summary": "The Competent Authority may require the labeling or marking of products and services to indicate compliance or non-compliance.", "core_obligation": { "actor": "Competent Authority", "action": "require labeling or marking", "modality": "may", "object": "products and services to indicate compliance or non-compliance status", "conditions": [] }, "applicability": "Competent Authority in relation to product or service compliance transparency.", "severity": "medium", "category": "Product and Service Labeling and Transparency", "source_ref": { "page": 16, "clause": "Item 267", "text_snippet": "Require the labeling or marking of products to indicate compliance or non-compliance. [EU: Regulation (EC) No 1272/2008 on classification, labeling, and packaging of substances and mixtures, Article 25]" } }, { "rule_id": "LPO-268", "title": "Power to Require Specific Labeling or Packaging Requirements", "rule_type": "power", "summary": "The Competent Authority may impose a requirement for the use of specific labeling or packaging requirements.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement", "modality": "may", "object": "specific labeling or packaging requirements", "conditions": [] }, "applicability": "Competent Authority in relation to product labeling and packaging standards.", "severity": "medium", "category": "Product Labeling and Packaging", "source_ref": { "page": 16, "clause": "Item 268", "text_snippet": "Impose a requirement for the use of specific labeling or packaging requirements. [South Korea: Act on the Labeling and Advertisement of Foods, Article 10]" } }, { "rule_id": "LPO-269", "title": "Power to Require Standards for Product Labeling or Advertising", "rule_type": "power", "summary": "The Competent Authority may impose a requirement for the use of specific standards or guidelines for product labeling or advertising.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement", "modality": "may", "object": "specific standards or guidelines for product labeling or advertising", "conditions": [] }, "applicability": "Competent Authority in relation to product labeling and advertising standards.", "severity": "medium", "category": "Product Labeling and Advertising", "source_ref": { "page": 16, "clause": "Item 269", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for product labeling or advertising. [Hong Kong: Trade Descriptions Ordinance, Cap. 362, Section 10]" } }, { "rule_id": "LPO-270", "title": "Power to Require the Use of Standards", "rule_type": "power", "summary": "The Competent Authority may impose a requirement for the use of specific standards.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement", "modality": "may", "object": "specific standards", "conditions": [] }, "applicability": "Competent Authority in relation to economic activity.", "severity": "medium", "category": "Technical Standards", "source_ref": { "page": 16, "clause": "Item 270", "text_snippet": "Impose a requirement for the use of specific design or construction standards. [Singapore: Building Maintenance and Strata Management Act, Chapter 30C, Section 96]" } }, { "rule_id": "LPO-271", "title": "Power to Mandate Product Lifecycle Responsibility", "rule_type": "power", "summary": "The Competent Authority may mandate product lifecycle responsibility.", "core_obligation": { "actor": "Competent Authority", "action": "mandate product lifecycle responsibility", "modality": "may", "object": "product lifecycle responsibility", "conditions": [] }, "applicability": "Competent Authority in relation to extended producer responsibility and product lifecycle management.", "severity": "high", "category": "Environmental and Product Lifecycle", "source_ref": { "page": 16, "clause": "Item 271", "text_snippet": "Mandate product lifecycle responsibility. [EU Directive on Waste Electrical and Electronic Equipment, Article 8]" } }, { "rule_id": "LPO-272", "title": "Product Stewardship Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a product stewardship or extended producer responsibility program.", "core_obligation": { "actor": "Competent Authority", "action": "order the establishment of a product stewardship or extended producer responsibility program", "modality": "may", "object": "product stewardship or extended producer responsibility program", "conditions": [] }, "applicability": "Entities subject to product stewardship requirements in regulated industries.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "272", "text_snippet": "Order the establishment of a product stewardship or extended producer responsibility program. [New Zealand: Waste Minimisation Act 2008, Section 15]" } }, { "rule_id": "LPO-273", "title": "Circular Economy Principles Mandate", "rule_type": "power", "summary": "The Competent Authority may mandate the implementation of circular economy principles in product design and manufacturing.", "core_obligation": { "actor": "Competent Authority", "action": "mandate the implementation of circular economy principles", "modality": "may", "object": "circular economy principles in product design and manufacturing", "conditions": [] }, "applicability": "Manufacturers and product designers in regulated sectors.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "273", "text_snippet": "Mandate the implementation of circular economy principles in product design and manufacturing. [EU Circular Economy Action Plan, Section 3.1]" } }, { "rule_id": "LPO-274", "title": "Sustainable Materials Mandate", "rule_type": "power", "summary": "The Competent Authority may mandate the use of sustainable materials in regulated industries.", "core_obligation": { "actor": "Competent Authority", "action": "mandate the use of sustainable materials", "modality": "may", "object": "sustainable materials in regulated industries", "conditions": [] }, "applicability": "All regulated industries subject to material sourcing requirements.", "severity": "medium", "category": "Environment", "source_ref": { "page": 17, "clause": "274", "text_snippet": "Mandate the use of sustainable materials in regulated industries. [EU Timber Regulation, Article 4]" } }, { "rule_id": "LPO-275", "title": "Environmental Impact Assessment Procedures", "rule_type": "power", "summary": "The Competent Authority may require the implementation of specific environmental impact assessment procedures.", "core_obligation": { "actor": "Competent Authority", "action": "require the implementation of specific environmental impact assessment procedures", "modality": "may", "object": "environmental impact assessment procedures", "conditions": [] }, "applicability": "Entities undertaking activities with potential environmental impacts.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "275", "text_snippet": "Require the implementation of specific environmental impact assessment procedures. [ML Environmental Liability, Section 3; U.S. National Environmental Policy Act, Section 102]" } }, { "rule_id": "LPO-276", "title": "Mandatory Sustainability Reporting", "rule_type": "power", "summary": "The Competent Authority may impose mandatory sustainability reporting related to compliance matters.", "core_obligation": { "actor": "Competent Authority", "action": "impose mandatory sustainability reporting", "modality": "may", "object": "sustainability reporting related to compliance matters", "conditions": [] }, "applicability": "Regulated entities subject to compliance and reporting requirements.", "severity": "medium", "category": "Compliance", "source_ref": [ { "page": 17, "clause": "276", "text_snippet": "Impose mandatory sustainability reporting related to compliance matters. [ML Corruption, Section 28.II.106; ML Alcohol-Cannabis-Tobacco, Section 69.I.sss]", "_origin_rule_id": "LPO-276" }, { "page": 7, "clause": "Item 112", "text_snippet": "Impose mandatory sustainability and corporate social responsibility reporting related to compliance matters.", "_origin_rule_id": "SAN-112" } ], "_merge_count": 2 }, { "rule_id": "LPO-277", "title": "Moratorium on Activities", "rule_type": "power", "summary": "The Competent Authority may impose a moratorium on specific activities or developments.", "core_obligation": { "actor": "Competent Authority", "action": "impose a moratorium", "modality": "may", "object": "specific activities or developments", "conditions": [] }, "applicability": "Any activities or developments subject to regulatory oversight.", "severity": "critical", "category": "Environment", "source_ref": { "page": 17, "clause": "277", "text_snippet": "Impose a moratorium on specific activities or developments. [New Zealand: Resource Management Act 1991, Section 108]" } }, { "rule_id": "LPO-278", "title": "Natural Resource Restoration Order", "rule_type": "power", "summary": "The Competent Authority may order the restoration of damaged or degraded natural resources.", "core_obligation": { "actor": "Competent Authority", "action": "order the restoration", "modality": "may", "object": "damaged or degraded natural resources", "conditions": [] }, "applicability": "Entities responsible for damage to natural resources.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "278", "text_snippet": "Order the restoration of damaged or degraded natural resources. [Singapore: Parks and Trees Act, Chapter 216, Section 32]" } }, { "rule_id": "LPO-279", "title": "Environmental Hazard Remediation Order", "rule_type": "power", "summary": "The Competent Authority may order the removal or remediation of environmental hazards or contamination.", "core_obligation": { "actor": "Competent Authority", "action": "order the removal or remediation", "modality": "may", "object": "environmental hazards or contamination", "conditions": [] }, "applicability": "Entities responsible for environmental hazards or contamination.", "severity": "critical", "category": "Environment", "source_ref": { "page": 17, "clause": "279", "text_snippet": "Order the removal or remediation of environmental hazards or contamination. [Canada: Fisheries Act, R.S.C., 1985, c. F-14, s. 36]" } }, { "rule_id": "LPO-280", "title": "Energy Efficiency Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of an energy efficiency or renewable energy program or initiative.", "core_obligation": { "actor": "Competent Authority", "action": "order the establishment of an energy efficiency or renewable energy program", "modality": "may", "object": "energy efficiency or renewable energy program or initiative", "conditions": [] }, "applicability": "Energy-intensive industries and regulated entities.", "severity": "medium", "category": "Environment", "source_ref": { "page": 17, "clause": "280", "text_snippet": "Order the establishment of an energy efficiency or renewable energy program or initiative. [South Korea: Renewable Energy Act, Article 4]" } }, { "rule_id": "LPO-281", "title": "Energy Efficiency Standards Requirement", "rule_type": "power", "summary": "The Competent Authority may impose a requirement for the use of specific standards or guidelines for the promotion or regulation of energy efficiency or renewable energy.", "core_obligation": { "actor": "Competent Authority", "action": "impose a requirement for the use of specific standards or guidelines", "modality": "may", "object": "standards or guidelines for energy efficiency or renewable energy", "conditions": [] }, "applicability": "Entities subject to energy efficiency regulations.", "severity": "medium", "category": "Environment", "source_ref": { "page": 17, "clause": "281", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of energy efficiency or renewable energy. [EU: Directive 2012/27/EU on energy efficiency, Article 7]" } }, { "rule_id": "LPO-282", "title": "Climate Change Mitigation Measures", "rule_type": "power", "summary": "The Competent Authority may require the implementation of specific measures to protect the interests of the public or promote climate change mitigation and adaptation.", "core_obligation": { "actor": "Competent Authority", "action": "require the implementation of specific measures", "modality": "may", "object": "measures to protect public interests or promote climate change mitigation and adaptation", "conditions": [] }, "applicability": "All regulated entities with climate impact.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "282", "text_snippet": "Require the implementation of specific measures to protect the interests of the public or promote climate change mitigation and adaptation. [Hong Kong: Air Pollution Control Ordinance, Cap. 311, Section 2B; Singapore: Climate Change Act, Chapter 40A, Section 3; New Zealand: Climate Change Response (Zero Carbon) Amendment Act 2019, Section 5ZC]" } }, { "rule_id": "LPO-283", "title": "Biodiversity Conservation Measures", "rule_type": "power", "summary": "The Competent Authority may require the implementation of specific measures to protect the interests of the public or promote biodiversity conservation and ecosystem restoration.", "core_obligation": { "actor": "Competent Authority", "action": "require the implementation of specific measures", "modality": "may", "object": "measures to protect public interests or promote biodiversity conservation and ecosystem restoration", "conditions": [] }, "applicability": "Entities with activities affecting biodiversity and ecosystems.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "283", "text_snippet": "Require the implementation of specific measures to protect the interests of the public or promote biodiversity conservation and ecosystem restoration. [EU: Directive 2014/89/EU establishing a framework for marine spatial planning, Article 8]" } }, { "rule_id": "LPO-284", "title": "Biodiversity Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a biodiversity conservation or ecosystem restoration program or initiative.", "core_obligation": { "actor": "Competent Authority", "action": "order the establishment of a biodiversity conservation or ecosystem restoration program", "modality": "may", "object": "biodiversity conservation or ecosystem restoration program or initiative", "conditions": [] }, "applicability": "Entities impacting biodiversity and ecosystems.", "severity": "medium", "category": "Environment", "source_ref": { "page": 17, "clause": "284", "text_snippet": "Order the establishment of a biodiversity conservation or ecosystem restoration program or initiative. [Canada: Species at Risk Act, S.C. 2002, c. 29, s. 5]" } }, { "rule_id": "LPO-285", "title": "Biodiversity Standards Requirement", "rule_type": "power", "summary": "The Competent Authority may impose a requirement for the use of specific standards or guidelines for the promotion or regulation of biodiversity conservation or ecosystem restoration.", "core_obligation": { "actor": "Competent Authority", "action": "impose a requirement for the use of specific standards or guidelines", "modality": "may", "object": "standards or guidelines for biodiversity conservation or ecosystem restoration", "conditions": [] }, "applicability": "Entities subject to biodiversity conservation regulations.", "severity": "medium", "category": "Environment", "source_ref": { "page": 17, "clause": "285", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of biodiversity conservation or ecosystem restoration. [Hong Kong: Country Parks Ordinance, Cap. 208, Section 3]" } }, { "rule_id": "LPO-286", "title": "Renewable Energy Mandate", "rule_type": "power", "summary": "The Competent Authority may mandate the use of renewable energy sources for energy-intensive regulated activities.", "core_obligation": { "actor": "Competent Authority", "action": "mandate the use of renewable energy sources", "modality": "may", "object": "renewable energy sources for energy-intensive regulated activities", "conditions": [] }, "applicability": "Energy-intensive regulated activities and entities.", "severity": "high", "category": "Environment", "source_ref": { "page": 17, "clause": "286", "text_snippet": "Mandate the use of renewable energy sources for energy-intensive regulated activities. [EU Renewable Energy Directive, Article 3]" } }, { "rule_id": "LPO-287", "title": "Supply Chain Disclosure Requirement", "rule_type": "power", "summary": "The Competent Authority may require companies to disclose information about their supply chains and sourcing practices.", "core_obligation": { "actor": "Competent Authority", "action": "require companies to disclose information", "modality": "may", "object": "information about supply chains and sourcing practices", "conditions": [] }, "applicability": "Companies with complex supply chains.", "severity": "medium", "category": "Supply Chain", "source_ref": { "page": 17, "clause": "287", "text_snippet": "Require companies to disclose information about their supply chains and sourcing practices. [UK Modern Slavery Act, Section 54]" } }, { "rule_id": "LPO-288", "title": "Human Rights Due Diligence Requirement", "rule_type": "power", "summary": "The Competent Authority may require the implementation of human rights due diligence procedures in global supply chains.", "core_obligation": { "actor": "Competent Authority", "action": "require the implementation of human rights due diligence procedures", "modality": "may", "object": "human rights due diligence procedures in global supply chains", "conditions": [] }, "applicability": "Companies with global supply chains.", "severity": "high", "category": "Supply Chain", "source_ref": { "page": 17, "clause": "288", "text_snippet": "Require the implementation of human rights due diligence procedures in global supply chains. [UN Guiding Principles on Business and Human Rights, Principle 17]" } }, { "rule_id": "LPO-289", "title": "Supply Chain Transparency Measures", "rule_type": "power", "summary": "The Competent Authority may mandate the implementation of specific supply chain transparency measures, including the use of blockchain technology.", "core_obligation": { "actor": "Competent Authority", "action": "mandate the implementation of specific supply chain transparency measures", "modality": "may", "object": "supply chain transparency measures, including blockchain technology", "conditions": [] }, "applicability": "Companies subject to supply chain transparency requirements.", "severity": "medium", "category": "Supply Chain", "source_ref": { "page": 17, "clause": "289", "text_snippet": "Mandate the implementation of specific supply chain transparency measures, including the use of blockchain technology. [U.S. Customs and Border Protection, Informed Compliance Publication on Reasonable Care, Section 4.3]" } }, { "rule_id": "LPO-290", "title": "Child and Vulnerable Persons Protection Measures", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to protect the interests of children or vulnerable persons.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of specific measures", "modality": "may", "object": "measures to protect children or vulnerable persons", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority dealing with children or vulnerable persons.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 290", "text_snippet": "Require the implementation of specific measures to protect the interests of children or vulnerable persons.", "reference_law": "New Zealand: Children, Young Persons, and Their Families Act 1989, Section 13" } }, { "rule_id": "LPO-291", "title": "Child Protection Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a child protection or advocacy program or initiative.", "core_obligation": { "actor": "Competent Authority", "action": "order establishment of program", "modality": "may", "object": "child protection or advocacy program", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 291", "text_snippet": "Order the establishment of a child protection or advocacy program or initiative.", "reference_law": "South Korea: Act on the Protection of Children and Juveniles from Sexual Abuse, Article 17" } }, { "rule_id": "LPO-292", "title": "Standards for Child and Vulnerable Persons Care", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the care or protection of children or vulnerable persons.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards or guidelines for care or protection", "conditions": [ "for children or vulnerable persons" ] }, "applicability": "Entities providing care or protection services to children or vulnerable persons.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 292", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the care or protection of children or vulnerable persons.", "reference_law": "EU: Directive 2011/98/EU, Article 12" } }, { "rule_id": "LPO-293", "title": "Inter-Agency Information Sharing for Child Protection", "rule_type": "power", "summary": "The Competent Authority may order the provision of information or assistance to other government departments or agencies regarding child protection or vulnerable persons protection.", "core_obligation": { "actor": "Competent Authority", "action": "order provision of information or assistance", "modality": "may", "object": "information or assistance to government agencies", "conditions": [ "in relation to child protection or protection of vulnerable persons" ] }, "applicability": "Entities holding relevant information on child or vulnerable persons protection.", "severity": "medium", "category": "Child Protection", "source_ref": [ { "page": 18, "clause": "Rule 293", "text_snippet": "Order the provision of information or assistance to other government departments or agencies in relation to child protection or the protection of vulnerable persons.", "reference_law": "Canada: Immigration and Refugee Protection Act, S.C. 2001, c. 27, s. 161", "_origin_rule_id": "LPO-293" }, { "page": 18, "clause": "Rule 304", "text_snippet": "Order the provision of information or assistance to other government departments or agencies in relation to child welfare and protection.", "reference_law": "South Korea: Child Welfare Act, Article 4", "_origin_rule_id": "LPO-304" } ], "_merge_count": 2 }, { "rule_id": "LPO-294", "title": "Indigenous Peoples Protection and Reconciliation", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to protect the interests of indigenous peoples or promote reconciliation.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures to protect indigenous peoples or promote reconciliation", "conditions": [] }, "applicability": "Entities whose operations affect indigenous peoples or their interests.", "severity": "high", "category": "Human Rights", "source_ref": { "page": 18, "clause": "Rule 294", "text_snippet": "Require the implementation of specific measures to protect the interests of indigenous peoples or promote reconciliation.", "reference_law": "New Zealand: Treaty of Waitangi Act 1975, Section 5" } }, { "rule_id": "LPO-295", "title": "Indigenous Peoples Development Program", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a program or initiative to support the social and economic development of indigenous peoples.", "core_obligation": { "actor": "Competent Authority", "action": "order establishment of program", "modality": "may", "object": "program to support indigenous peoples development", "conditions": [ "social and economic development" ] }, "applicability": "Entities with capacity to support indigenous peoples development.", "severity": "high", "category": "Human Rights", "source_ref": { "page": 18, "clause": "Rule 295", "text_snippet": "Order the establishment of a program or initiative to support the social and economic development of indigenous peoples.", "reference_law": "South Korea: Framework Act on Indigenous Peoples, Article 14" } }, { "rule_id": "LPO-296", "title": "Indigenous Rights and Cultural Heritage Standards", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the protection of indigenous rights or cultural heritage.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for indigenous rights or cultural heritage protection", "conditions": [] }, "applicability": "Entities whose operations may impact indigenous rights or cultural heritage.", "severity": "high", "category": "Human Rights", "source_ref": { "page": 18, "clause": "Rule 296", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the protection of indigenous rights or cultural heritage.", "reference_law": "EU: Directive 2001/18/EC, Article 26" } }, { "rule_id": "LPO-297", "title": "Sports and Recreation Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a sports or recreation program or initiative.", "core_obligation": { "actor": "Competent Authority", "action": "order establishment of program", "modality": "may", "object": "sports or recreation program", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority.", "severity": "low", "category": "Social Welfare", "source_ref": { "page": 18, "clause": "Rule 297", "text_snippet": "Order the establishment of a sports or recreation program or initiative.", "reference_law": "Canada: Department of Canadian Heritage Act, S.C. 1995, c. 11, s. 4" } }, { "rule_id": "LPO-298", "title": "Sports and Recreation Standards", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the promotion or regulation of sports or recreation.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for sports or recreation promotion/regulation", "conditions": [] }, "applicability": "Entities involved in sports or recreation activities.", "severity": "low", "category": "Social Welfare", "source_ref": { "page": 18, "clause": "Rule 298", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of sports or recreation.", "reference_law": "Hong Kong: Sports Development Council Ordinance, Cap. 446, Section 4" } }, { "rule_id": "LPO-299", "title": "Gender Equality and Women's Empowerment Standards", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the promotion or regulation of gender equality or women's empowerment.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for gender equality or women's empowerment", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority, particularly employers.", "severity": "high", "category": "Human Rights", "source_ref": { "page": 18, "clause": "Rule 299", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of gender equality or women's empowerment.", "reference_law": "EU: Directive 2006/54/EC, Article 3" } }, { "rule_id": "LPO-300", "title": "Age Verification Systems Mandate", "rule_type": "power", "summary": "The Competent Authority may mandate the implementation of age or other legitimacy factors verification systems.", "core_obligation": { "actor": "Competent Authority", "action": "mandate implementation of verification systems", "modality": "may", "object": "age or legitimacy verification systems", "conditions": [] }, "applicability": "Online service providers and platforms accessible to minors.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 300", "text_snippet": "Mandate the implementation of age (other legitimacy factors) verification systems.", "reference_law": "UK Online Safety Act 2023, Section 12(4)" } }, { "rule_id": "LPO-301", "title": "Public Interest and Child Welfare Protection Measures", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to protect the interests of the public or promote child welfare and protection.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures to protect public interests or promote child welfare", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 301", "text_snippet": "Require the implementation of specific measures to protect the interests of the public or promote child welfare and protection.", "reference_law": "Hong Kong: Protection of Children and Juveniles Ordinance, Cap. 213, Section 3" } }, { "rule_id": "LPO-302", "title": "Child Welfare Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a child welfare or protection program or initiative.", "core_obligation": { "actor": "Competent Authority", "action": "order establishment of program", "modality": "may", "object": "child welfare or protection program", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 302", "text_snippet": "Order the establishment of a child welfare or protection program or initiative.", "reference_law": "Singapore: Children and Young Persons Act, Chapter 38, Section 3" } }, { "rule_id": "LPO-303", "title": "Child Welfare Standards and Guidelines", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the promotion or regulation of child welfare or protection.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for child welfare or protection", "conditions": [] }, "applicability": "Entities involved in child welfare or protection services.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 303", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of child welfare or protection.", "reference_law": "New Zealand: Children, Young Persons, and Their Families Act 1989, Section 13" } }, { "rule_id": "LPO-305", "title": "Online Child Sexual Exploitation Prevention", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to prevent online child sexual exploitation.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures to prevent online child sexual exploitation", "conditions": [] }, "applicability": "Online service providers and platforms.", "severity": "critical", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 305", "text_snippet": "Require the implementation of specific measures to prevent online child sexual exploitation.", "reference_law": "U.S. PROTECT Act, Section 111" } }, { "rule_id": "LPO-306", "title": "Elder Care and Support Measures", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to protect the interests of the public or promote elder care and support.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures to protect public interests or promote elder care", "conditions": [] }, "applicability": "Entities providing services to elderly persons.", "severity": "medium", "category": "Social Welfare", "source_ref": { "page": 18, "clause": "Rule 306", "text_snippet": "Require the implementation of specific measures to protect the interests of the public or promote elder care and support.", "reference_law": "EU: Directive 2011/98/EU, Article 14" } }, { "rule_id": "LPO-307", "title": "Elder Care Standards and Guidelines", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the promotion or regulation of elder care or support.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for elder care or support", "conditions": [] }, "applicability": "Entities providing elder care or support services.", "severity": "medium", "category": "Social Welfare", "source_ref": { "page": 18, "clause": "Rule 307", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of elder care or support.", "reference_law": "Hong Kong: Elderly Persons Ordinance, Cap. 419, Section 3" } }, { "rule_id": "LPO-308", "title": "Substance Abuse Prevention Program Establishment", "rule_type": "power", "summary": "The Competent Authority may order the establishment of a substance abuse prevention or treatment program or initiative.", "core_obligation": { "actor": "Competent Authority", "action": "order establishment of program", "modality": "may", "object": "substance abuse prevention or treatment program", "conditions": [] }, "applicability": "Entities under the jurisdiction of the Competent Authority.", "severity": "medium", "category": "Public Health", "source_ref": { "page": 18, "clause": "Rule 308", "text_snippet": "Order the establishment of a substance abuse prevention or treatment program or initiative.", "reference_law": "Singapore: Misuse of Drugs Act, Chapter 185, Section 3" } }, { "rule_id": "LPO-309", "title": "Substance Abuse Prevention Standards", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the promotion or regulation of substance abuse prevention or treatment.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for substance abuse prevention or treatment", "conditions": [] }, "applicability": "Entities involved in substance abuse prevention or treatment.", "severity": "medium", "category": "Public Health", "source_ref": { "page": 18, "clause": "Rule 309", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of substance abuse prevention or treatment.", "reference_law": "New Zealand: Misuse of Drugs Act 1975, Section 4" } }, { "rule_id": "LPO-310", "title": "Tobacco Control and Smoking Cessation Measures", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to protect the interests of the public or promote tobacco control and smoking cessation.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures for tobacco control and smoking cessation", "conditions": [] }, "applicability": "Entities involved in tobacco manufacture, sale, or distribution.", "severity": "medium", "category": "Public Health", "source_ref": { "page": 18, "clause": "Rule 310", "text_snippet": "Require the implementation of specific measures to protect the interests of the public or promote tobacco control and smoking cessation.", "reference_law": "EU: Directive 2014/40/EU, Article 20" } }, { "rule_id": "LPO-311", "title": "Tobacco Control Standards and Guidelines", "rule_type": "power", "summary": "The Competent Authority may impose requirements for the use of specific standards or guidelines for the promotion or regulation of tobacco control or smoking cessation.", "core_obligation": { "actor": "Competent Authority", "action": "impose requirement for standards/guidelines", "modality": "may", "object": "standards for tobacco control or smoking cessation", "conditions": [] }, "applicability": "Entities involved in tobacco-related activities.", "severity": "medium", "category": "Public Health", "source_ref": { "page": 18, "clause": "Rule 311", "text_snippet": "Impose a requirement for the use of specific standards or guidelines for the promotion or regulation of tobacco control or smoking cessation.", "reference_law": "Hong Kong: Smoking (Public Health) Ordinance, Cap. 371, Section 3" } }, { "rule_id": "LPO-312", "title": "Online Gambling Addiction Prevention", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to prevent online gambling addiction.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures to prevent online gambling addiction", "conditions": [] }, "applicability": "Online gambling operators and platforms.", "severity": "medium", "category": "Public Health", "source_ref": { "page": 18, "clause": "Rule 312", "text_snippet": "Require the implementation of specific measures to prevent online gambling addiction.", "reference_law": "U.K. Gambling Act, Section 4" } }, { "rule_id": "LPO-313", "title": "Discriminatory Practices Prevention", "rule_type": "power", "summary": "The Competent Authority may require implementation of specific measures to prevent discriminatory practices.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of measures", "modality": "may", "object": "measures to prevent discriminatory practices", "conditions": [] }, "applicability": "All entities under the jurisdiction of the Competent Authority.", "severity": "high", "category": "Human Rights", "source_ref": { "page": 18, "clause": "Rule 313", "text_snippet": "Require the implementation of specific measures to prevent discriminatory practices.", "reference_law": "Extrapolated from ML Corruption, Section 28.II.123" } }, { "rule_id": "LPO-314", "title": "Enhanced Children's Online Privacy Protection", "rule_type": "power", "summary": "The Competent Authority may require implementation of enhanced measures to protect children's privacy online.", "core_obligation": { "actor": "Competent Authority", "action": "require implementation of enhanced measures", "modality": "may", "object": "measures to protect children's privacy online", "conditions": [] }, "applicability": "Online service providers and platforms accessible to children.", "severity": "high", "category": "Child Protection", "source_ref": { "page": 18, "clause": "Rule 314", "text_snippet": "Require the implementation of enhanced measures to protect children's privacy online.", "reference_law": "Extrapolated from ML Corruption, Section 28.II.104" } }, { "rule_id": "SAN-028", "title": "House Arrest and Electronic Monitoring", "rule_type": "sanction", "summary": "Offenders may be assigned to residence (house arrest) with electronic monitoring devices to track movements.", "core_obligation": { "actor": "Offenders", "action": "assignment of residence with electronic monitoring", "modality": "may be subject to", "object": "house arrest and electronic monitoring (ankle bracelets)", "conditions": [ "as determined by sentencing authority" ] }, "applicability": "Individuals convicted of offenses subject to alternative sentencing measures.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 3, "clause": "Item 28", "text_snippet": "Assignment of residence (\"house arrest\") and electronic monitoring (such as ankle bracelets) to track the movements of offenders [18 U.S.C. § 3563; UK Offender Management Act 2007]" } }, { "rule_id": "SAN-029", "title": "Community Service for Minor Offenses (Individuals)", "rule_type": "sanction", "summary": "Individuals convicted of minor offenses may be required to perform community service as a penalty.", "core_obligation": { "actor": "Individual offenders", "action": "perform community service", "modality": "may be required to", "object": "community service", "conditions": [ "for minor offenses" ] }, "applicability": "Individuals convicted of minor offenses.", "severity": "medium", "category": "Sanctions", "source_ref": { "page": 3, "clause": "Item 29", "text_snippet": "Community service as a penalty for minor offenses [California Penal Code, Section 1203.4; UK, the Criminal Justice Community Service Act 1970]" } }, { "rule_id": "SAN-030", "title": "Community Service Requirements for Corporations", "rule_type": "sanction", "summary": "Corporations may be required to perform community service as a penalty for violations.", "core_obligation": { "actor": "Corporations", "action": "fulfill community service requirements", "modality": "may be required to", "object": "community service obligations", "conditions": [ "as penalty for corporate violations" ] }, "applicability": "Corporations found liable for environmental or other crimes.", "severity": "medium", "category": "Sanctions", "source_ref": { "page": 3, "clause": "Item 30", "text_snippet": "Community service requirements for corporations as a penalty [Brazilian Environmental Crimes Law (Law No. 9,605/98), Article 9]" } }, { "rule_id": "SAN-031", "title": "Contribution to Victim Compensation Funds", "rule_type": "sanction", "summary": "Liable parties may be required to contribute to victim compensation funds as part of remediation or penalty.", "core_obligation": { "actor": "Liable parties", "action": "contribute to victim compensation funds", "modality": "may be required to", "object": "financial contributions to compensation funds", "conditions": [ "under environmental or liability statutes" ] }, "applicability": "Parties liable under environmental response and compensation laws.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 3, "clause": "Item 31", "text_snippet": "Contribution to Victim Compensation Funds [U.S. Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)]" } }, { "rule_id": "SAN-032", "title": "Deportation and Reentry Prohibition for Non-Citizens", "rule_type": "sanction", "summary": "Non-citizens who violate laws may face loss of residence, removal, deportation, or prohibition from reentering the jurisdiction.", "core_obligation": { "actor": "Non-citizens", "action": "subject to removal, deportation, or reentry prohibition", "modality": "may be subject to", "object": "loss of residence rights and deportation", "conditions": [ "for non-citizens who violate applicable laws" ] }, "applicability": "Non-citizens convicted of violations or crimes.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 3, "clause": "Item 32", "text_snippet": "Loss or residence / removal / deportation / prohibition to reenter for non-citizens" } }, { "rule_id": "SAN-034", "title": "Mandatory Treatment Programs", "rule_type": "obligation", "summary": "Reference to mandatory treatment programs under the U.S. Drug Abuse Prevention and Control Act.", "core_obligation": { "actor": "Not specified in fragment", "action": "implement/provide treatment programs", "modality": "mandatory", "object": "treatment programs", "conditions": [ "under Drug Abuse Prevention and Control Act" ] }, "applicability": "Entities subject to 21 U.S.C. § 841 et seq. (Drug Abuse Prevention and Control Act)", "severity": "medium", "category": "Compliance", "source_ref": { "page": 4, "clause": "Section 34.M", "text_snippet": "Mandatory treatment programs [U.S. Drug Abuse Prevention and Control Act (21 U.S.C. § 841 et seq.)]" }, "notes": "Fragment contains limited detail. Full rule content requires reference to cited statute 21 U.S.C. § 841 et seq." }, { "rule_id": "SAN-036", "title": "Civil Forfeiture of Property", "rule_type": "power", "summary": "Authority may impose civil forfeiture of property used in the commission of the offense.", "core_obligation": { "actor": "Authority", "action": "impose civil forfeiture", "modality": "may", "object": "property used in the commission of the offense", "conditions": [] }, "applicability": "Property used in commission of offenses under regulatory jurisdiction.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 36", "text_snippet": "Impose civil forfeiture of property used in the commission of the offense. [U.S. Comprehensive Crime Control Act, Section 413]" } }, { "rule_id": "SAN-037", "title": "Administrative Forfeiture of Property", "rule_type": "power", "summary": "Authority may impose administrative forfeiture of property used in the commission of the offense.", "core_obligation": { "actor": "Authority", "action": "impose administrative forfeiture", "modality": "may", "object": "property used in the commission of the offense", "conditions": [] }, "applicability": "Property used in commission of offenses under regulatory jurisdiction.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 37", "text_snippet": "Impose administrative forfeiture of property used in the commission of the offense. [U.S. Tariff Act of 1930, Section 607]" } }, { "rule_id": "SAN-038", "title": "Criminal Forfeiture of Property", "rule_type": "power", "summary": "Authority may impose criminal forfeiture of property used in the commission of the offense.", "core_obligation": { "actor": "Authority", "action": "impose criminal forfeiture", "modality": "may", "object": "property used in the commission of the offense", "conditions": [] }, "applicability": "Property used in commission of criminal offenses under regulatory jurisdiction.", "severity": "critical", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 38", "text_snippet": "Impose criminal forfeiture of property used in the commission of the offense. [U.S. Racketeer Influenced and Corrupt Organizations Act, Section 1963]" } }, { "rule_id": "SAN-039", "title": "Confiscation of Property or Assets", "rule_type": "power", "summary": "Authority may order the confiscation of property or assets related to the offense.", "core_obligation": { "actor": "Authority", "action": "order confiscation", "modality": "may", "object": "property or assets related to the offense", "conditions": [] }, "applicability": "Property or assets related to offenses under regulatory jurisdiction.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 39", "text_snippet": "Order the confiscation of property or assets related to the offense. [Canada: Criminal Code, R.S.C., 1985, c. C-46, s. 490; ML Corruption, Section 45.IV.2; ML Alcohol-Cannabis-Tobacco, Section 32.I]" } }, { "rule_id": "SAN-040", "title": "Asset Seizure and Victim Compensation", "rule_type": "power", "summary": "Authority may seize assets related to illegal activities and convert them into cash to compensate victims.", "core_obligation": { "actor": "Authority", "action": "seize assets and convert to cash", "modality": "may", "object": "assets related to illegal activities", "conditions": [ "to compensate victims" ] }, "applicability": "Assets related to illegal activities where victims require compensation.", "severity": "high", "category": "Asset Recovery", "source_ref": { "page": 4, "clause": "Item 40", "text_snippet": "Seize assets related to illegal activities and convert them into cash to compensate victims. [US RICO Act, Section 1963(a)]" } }, { "rule_id": "SAN-041", "title": "Possession and Disposal of Confiscated Assets", "rule_type": "power", "summary": "Authority may make provisions for taking possession of assets or property to which a confiscation order applies and for the disposal of such resources or property.", "core_obligation": { "actor": "Authority", "action": "take possession and dispose of assets", "modality": "may", "object": "assets or property subject to confiscation order", "conditions": [] }, "applicability": "Assets or property subject to confiscation orders.", "severity": "high", "category": "Asset Recovery", "source_ref": [ { "page": 4, "clause": "Item 41", "text_snippet": "Make provisions for taking possession of assets or property to which a confiscation order applies and for the disposal of such resources or property. [U.K. Proceeds of Crime Act, Section 239]", "_origin_rule_id": "SAN-041" }, { "page": 4, "clause": "Item 58", "text_snippet": "Make provisions for taking possession of assets or property to which a confiscation order applies and for the disposal of such resources or property. [ML Alcohol-Cannabis-Tobacco, Section 32.VI]", "_origin_rule_id": "SAN-058" } ], "_merge_count": 2 }, { "rule_id": "SAN-042", "title": "Asset Freezing for Suspected Infringements", "rule_type": "power", "summary": "Authority may freeze assets related to suspected infringements.", "core_obligation": { "actor": "Authority", "action": "freeze assets", "modality": "may", "object": "assets related to suspected infringements", "conditions": [] }, "applicability": "Assets related to suspected regulatory infringements.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 42", "text_snippet": "Freeze assets related to suspected infringements. [ML Corruption, Section 28.II.44; ML Alcohol-Cannabis-Tobacco, Section 69.I.jj; US Bank Secrecy Act, Section 311]" } }, { "rule_id": "SAN-043", "title": "Escrow Accounts for Potentially Infringing Activities", "rule_type": "power", "summary": "Authority may order the creation of escrow accounts for funds related to potentially infringing activities.", "core_obligation": { "actor": "Authority", "action": "order creation of escrow accounts", "modality": "may", "object": "funds related to potentially infringing activities", "conditions": [] }, "applicability": "Funds related to potentially infringing activities.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 43", "text_snippet": "Order the creation of escrow accounts for funds related to potentially infringing activities. [ML Corruption, Section 28.II.115]" } }, { "rule_id": "SAN-044", "title": "Disgorgement of Unfair Profits", "rule_type": "power", "summary": "Authority may order the disgorgement of profits made through unfair business practices.", "core_obligation": { "actor": "Authority", "action": "order disgorgement of profits", "modality": "may", "object": "profits made through unfair business practices", "conditions": [] }, "applicability": "Profits derived from unfair business practices.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 44", "text_snippet": "Order the disgorgement of profits made through unfair business practices. [US Sherman Antitrust Act, Section 5]" } }, { "rule_id": "SAN-045", "title": "Confiscation of Illicit Gains and Savings", "rule_type": "power", "summary": "Authority may confiscate gains obtained from the illicit practice and oblige compensation for savings made due to it.", "core_obligation": { "actor": "Authority", "action": "confiscate gains and require compensation for savings", "modality": "may", "object": "gains and savings from illicit practice", "conditions": [] }, "applicability": "Gains and savings derived from illicit practices.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 45", "text_snippet": "Confiscate gains obtained from the illicit practice and oblige compensation for savings made due to it. [ML Animal Protection, Section 80.IV.e; ML Corruption, Section 45.IV.5; ML Alcohol-Cannabis-Tobacco, Section 69.I.ee]" } }, { "rule_id": "SAN-046", "title": "Confiscation of Indirect Gains", "rule_type": "power", "summary": "Authority may confiscate capital or other value gains obtained with the help of gains from the illicit action (indirect gains).", "core_obligation": { "actor": "Authority", "action": "confiscate indirect gains", "modality": "may", "object": "capital or value gains obtained with help of illicit gains", "conditions": [] }, "applicability": "Indirect gains derived from illicit actions.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 46", "text_snippet": "Confiscate capital or other value gains obtained with the help of gains from the illicit action (indirect gains). [ML Animal Protection, Section 80.IV.f]" } }, { "rule_id": "SAN-047", "title": "Repatriation of Assets Held Abroad", "rule_type": "power", "summary": "Authority may order the repatriation of assets held abroad.", "core_obligation": { "actor": "Authority", "action": "order repatriation of assets", "modality": "may", "object": "assets held abroad", "conditions": [] }, "applicability": "Assets held in foreign jurisdictions related to offenses.", "severity": "high", "category": "Asset Recovery", "source_ref": { "page": 4, "clause": "Item 47", "text_snippet": "Order the repatriation of assets held abroad. [U.S. Foreign Corrupt Practices Act (FCPA), 15 U.S.C. §§ 78dd-1]" } }, { "rule_id": "SAN-048", "title": "Restrictions on Offshore Financial Structures", "rule_type": "power", "summary": "Authority may impose restrictions on the use of offshore financial structures.", "core_obligation": { "actor": "Authority", "action": "impose restrictions", "modality": "may", "object": "use of offshore financial structures", "conditions": [] }, "applicability": "Entities using offshore financial structures in connection with offenses.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 48", "text_snippet": "Impose restrictions on the use of offshore financial structures. [Extrapolated]" } }, { "rule_id": "SAN-049", "title": "Restrictions on Dividend Payments", "rule_type": "power", "summary": "Authority may impose restrictions on dividend payments.", "core_obligation": { "actor": "Authority", "action": "impose restrictions", "modality": "may", "object": "dividend payments", "conditions": [] }, "applicability": "Entities subject to enforcement actions.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 49", "text_snippet": "Impose restrictions on dividend payments. [Extrapolated]" } }, { "rule_id": "SAN-050", "title": "Temporary Suspension of Stock Trading", "rule_type": "power", "summary": "Authority may order temporary suspension of stock trading.", "core_obligation": { "actor": "Authority", "action": "order suspension of stock trading", "modality": "may", "object": "stock trading", "conditions": [ "temporary" ] }, "applicability": "Publicly traded entities subject to enforcement actions.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 50", "text_snippet": "Order temporary suspension of stock trading. [Extrapolated]" } }, { "rule_id": "SAN-051", "title": "Restrictions on Financial Instruments Facilitating Infringements", "rule_type": "power", "summary": "Authority may impose restrictions on certain financial instruments or transaction methods found to facilitate infringements.", "core_obligation": { "actor": "Authority", "action": "impose restrictions", "modality": "may", "object": "financial instruments or transaction methods", "conditions": [ "found to facilitate infringements" ] }, "applicability": "Financial instruments or transaction methods that facilitate regulatory infringements.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 51", "text_snippet": "Impose restrictions on certain financial instruments or transaction methods found to facilitate infringements. [ML Corruption, Section 28.II.103; ML Alcohol-Cannabis-Tobacco, Section 69.I.nn]" } }, { "rule_id": "SAN-052", "title": "Restrictions on Executive Compensation", "rule_type": "power", "summary": "Authority may impose restrictions on executive compensation.", "core_obligation": { "actor": "Authority", "action": "impose restrictions", "modality": "may", "object": "executive compensation", "conditions": [] }, "applicability": "Entities subject to enforcement actions.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 52", "text_snippet": "Impose restrictions on executive compensation. [ML Corruption, Section 28.II.122; ML Alcohol-Cannabis-Tobacco, Section 69.I.pp]" } }, { "rule_id": "SAN-053", "title": "Revocation of Intellectual Property Rights", "rule_type": "power", "summary": "Authority may order the revocation of patents or intellectual property rights related to the offense.", "core_obligation": { "actor": "Authority", "action": "order revocation", "modality": "may", "object": "patents or intellectual property rights", "conditions": [ "related to the offense" ] }, "applicability": "Intellectual property rights related to offenses.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 53", "text_snippet": "Order the revocation of patents or intellectual property rights related to the offense. [U.S. Patent Act, Section 282]" } }, { "rule_id": "SAN-054", "title": "Recovery of Authority Costs", "rule_type": "power", "summary": "Authority may recover costs incurred by the Authority from the responsible person.", "core_obligation": { "actor": "Authority", "action": "recover costs", "modality": "may", "object": "costs incurred by the Authority", "conditions": [ "from the responsible person" ] }, "applicability": "Responsible persons for offenses that incur Authority costs.", "severity": "medium", "category": "Cost Recovery", "source_ref": { "page": 4, "clause": "Item 54", "text_snippet": "Recover costs incurred by the Authority from the responsible person. [U.S. Comprehensive Environmental Response, Compensation, and Liability Act, Section 107]" } }, { "rule_id": "SAN-055", "title": "Payment Notice for Cost Reimbursement", "rule_type": "power", "summary": "Authority may issue a payment notice for reimbursement of costs, including calculation of costs and setting payment terms.", "core_obligation": { "actor": "Authority", "action": "issue payment notice", "modality": "may", "object": "reimbursement of costs", "conditions": [ "including calculation of costs and setting payment terms" ] }, "applicability": "Entities required to reimburse Authority costs.", "severity": "medium", "category": "Cost Recovery", "source_ref": { "page": 4, "clause": "Item 55", "text_snippet": "Issue a payment notice for reimbursement of costs, including calculation of costs and setting payment terms. [ML Environmental Liability, Section 19]" } }, { "rule_id": "SAN-056", "title": "Late Interest for Cost Reimbursement", "rule_type": "power", "summary": "Authority may impose late interest for failure to reimburse costs by the due date.", "core_obligation": { "actor": "Authority", "action": "impose late interest", "modality": "may", "object": "failure to reimburse costs", "conditions": [ "by the due date" ] }, "applicability": "Entities failing to reimburse costs by due date.", "severity": "medium", "category": "Cost Recovery", "source_ref": { "page": 4, "clause": "Item 56", "text_snippet": "Impose late interest for failure to reimburse costs by the due date. [ML Environmental Liability, Section 19.4]" } }, { "rule_id": "SAN-057", "title": "Reimbursement of Fraudulent Claims", "rule_type": "power", "summary": "Authority may require reimbursement of awards or relief money falsely or fraudulently claimed.", "core_obligation": { "actor": "Authority", "action": "require reimbursement", "modality": "may", "object": "awards or relief money", "conditions": [ "falsely or fraudulently claimed" ] }, "applicability": "Awards or relief money obtained through false or fraudulent claims.", "severity": "high", "category": "Cost Recovery", "source_ref": { "page": 4, "clause": "Item 57", "text_snippet": "Require reimbursement of awards or relief money falsely or fraudulently claimed. [U.S. False Claims Act, Section 3729; ML Corruption, Section 30.VII]" } }, { "rule_id": "SAN-059", "title": "Deposit of Property as Security Against Escape", "rule_type": "power", "summary": "Authority may require the deposit of property titles or assets as security against escape from the national territory.", "core_obligation": { "actor": "Authority", "action": "require deposit of property or assets", "modality": "may", "object": "property titles or assets", "conditions": [ "as security against escape from the national territory" ] }, "applicability": "Persons subject to enforcement actions with flight risk.", "severity": "high", "category": "Financial Sanctions", "source_ref": { "page": 4, "clause": "Item 59", "text_snippet": "Require the deposit of property titles or assets as security against escape from the national territory. [ML Corruption, Section 28.II.63; ML Alcohol-Cannabis-Tobacco, Section 69.I.ddddd; ML Animal Protection, Section 80.IV.i]" } }, { "rule_id": "SAN-060", "title": "Asset Seizure for Corruption (Indonesia)", "rule_type": "power", "summary": "Authority may seize assets worth up to IDR 10 billion for corruption offenses.", "core_obligation": { "actor": "Authority", "action": "seize assets", "modality": "may", "object": "assets", "conditions": [ "worth up to IDR 10 billion", "for corruption offenses" ] }, "applicability": "Corruption offenses under Indonesian jurisdiction.", "severity": "high", "category": "Financial Sanctions", "source_ref": [ { "page": 4, "clause": "Item 60", "text_snippet": "Seizure of assets worth up to IDR 10 billion for corruption offenses [Indonesian Criminal Code (Kitab Undang-Undang Hukum Pidana), Article 412]", "_origin_rule_id": "SAN-060" }, { "page": 4, "clause": "Item 62", "text_snippet": "Seizure of assets worth up to €10 million for terrorist financing offenses [EU Terrorism Financing Directive, Article 25(3)]", "_origin_rule_id": "SAN-062" } ], "_merge_count": 2 }, { "rule_id": "SAN-061", "title": "Asset Confiscation for Money Laundering (UAE)", "rule_type": "power", "summary": "Authority may confiscate assets worth up to AED 1 million for money laundering offenses.", "core_obligation": { "actor": "Authority", "action": "confiscate assets", "modality": "may", "object": "assets", "conditions": [ "worth up to AED 1 million", "for money laundering offenses" ] }, "applicability": "Money laundering offenses under UAE jurisdiction.", "severity": "high", "category": "Financial Sanctions", "source_ref": [ { "page": 4, "clause": "Item 61", "text_snippet": "Confiscation of assets worth up to AED 1 million for money laundering offenses [United Arab Emirates Anti-Money Laundering and Combating the Financing of Terrorism Law (Law No.14 of July 14,2012)]", "_origin_rule_id": "SAN-061" }, { "page": 4, "clause": "Item 63", "text_snippet": "Confiscation of assets worth up to £100,000 for money laundering offenses UK Money Laundering Regulations 2017, Regulation 34]", "_origin_rule_id": "SAN-063" } ], "_merge_count": 2 }, { "rule_id": "SAN-103", "title": "Order Cooperation with Investigations", "rule_type": "power", "summary": "Authority may order the offender to cooperate with investigations or regulatory authorities.", "core_obligation": { "actor": "Regulatory Authority", "action": "order offender to cooperate", "modality": "may", "object": "cooperation with investigations or regulatory authorities", "conditions": [] }, "applicability": "Offenders subject to enforcement actions.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 103", "text_snippet": "Order the offender to cooperate with investigations or regulatory authorities." } }, { "rule_id": "SAN-104", "title": "Oblige Cooperation for Enforcement", "rule_type": "power", "summary": "Authority may oblige any natural or legal person to cooperate for purposes of enforcement of sanctions and collateral measures.", "core_obligation": { "actor": "Regulatory Authority", "action": "oblige cooperation", "modality": "may", "object": "any natural or legal person", "conditions": [ "for purposes of enforcement of sanctions and collateral measures" ] }, "applicability": "Any natural or legal person subject to enforcement proceedings.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 104", "text_snippet": "Oblige any natural or legal person to cooperate for purposes of enforcement of sanctions and collateral measures." } }, { "rule_id": "SAN-105", "title": "Information Sharing Obligation", "rule_type": "power", "summary": "Authority may impose an obligation to share information or data with regulatory authorities.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose information sharing obligation", "modality": "may", "object": "information or data", "conditions": [ "with regulatory authorities" ] }, "applicability": "Entities subject to regulatory oversight.", "severity": "medium", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 105", "text_snippet": "Impose an obligation to share information or data with regulatory authorities." } }, { "rule_id": "SAN-106", "title": "Access to Premises for Inspection", "rule_type": "power", "summary": "Authority may order the offender to provide access to premises, systems, or other relevant resources for inspection or monitoring.", "core_obligation": { "actor": "Regulatory Authority", "action": "order access provision", "modality": "may", "object": "premises, systems, or other relevant resources", "conditions": [ "for inspection or monitoring" ] }, "applicability": "Offenders subject to inspection or monitoring requirements.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 106", "text_snippet": "Order the offender to provide access to premises, systems, or other relevant resources for inspection or monitoring." } }, { "rule_id": "SAN-107", "title": "Beneficial Ownership Disclosure", "rule_type": "power", "summary": "Authority may mandate disclosure of beneficial ownership in a public register.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate beneficial ownership disclosure", "modality": "may", "object": "beneficial ownership information", "conditions": [ "in a public register" ] }, "applicability": "Entities required to disclose ownership structures.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 107", "text_snippet": "Mandate disclosure of beneficial ownership in a public register." } }, { "rule_id": "SAN-108", "title": "Public Disclosure of Infringements", "rule_type": "power", "summary": "Authority may require public disclosure of infringements by the infringing entity.", "core_obligation": { "actor": "Regulatory Authority", "action": "require public disclosure", "modality": "may", "object": "infringements", "conditions": [ "by the infringing entity" ] }, "applicability": "Entities that have committed infringements.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 108", "text_snippet": "Require public disclosure of infringements by the infringing entity." } }, { "rule_id": "SAN-109", "title": "Publication of Infringer Identification Data", "rule_type": "power", "summary": "Authority may publish names and further data permitting the identification of natural or legal persons who have deliberately infringed the law.", "core_obligation": { "actor": "Regulatory Authority", "action": "publish identifying information", "modality": "may", "object": "names and identification data of infringers", "conditions": [ "who have deliberately infringed the law" ] }, "applicability": "Natural or legal persons who deliberately violated the law.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 109", "text_snippet": "Publish names and further data permitting the identification of natural or legal persons who have deliberately infringed the law." } }, { "rule_id": "SAN-110", "title": "Blacklist Publication", "rule_type": "power", "summary": "Authority may publish a blacklist of natural and legal persons who committed or contributed to infringements.", "core_obligation": { "actor": "Regulatory Authority", "action": "publish blacklist", "modality": "may", "object": "natural and legal persons", "conditions": [ "who committed or contributed to infringements" ] }, "applicability": "Persons or entities involved in infringements.", "severity": "critical", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 110", "text_snippet": "Publish a blacklist of natural and legal persons who committed or contributed to infringements." } }, { "rule_id": "SAN-111", "title": "Public Naming and Shaming", "rule_type": "power", "summary": "Authority may order public naming and shaming through official channels.", "core_obligation": { "actor": "Regulatory Authority", "action": "order public naming and shaming", "modality": "may", "object": "offenders", "conditions": [ "through official channels" ] }, "applicability": "Offenders subject to public enforcement actions.", "severity": "high", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 111", "text_snippet": "Order public naming and shaming through official channels.", "_origin_rule_id": "SAN-111" }, { "page": 84, "clause": "Section 2.2(b)", "text_snippet": "Public naming and shaming", "_origin_rule_id": "STD-2024-008" } ], "_merge_count": 2 }, { "rule_id": "SAN-113", "title": "Public Registry of Enforcement Decisions", "rule_type": "power", "summary": "Authority may establish and maintain a public registry of enforcement decisions and guidance documents.", "core_obligation": { "actor": "Regulatory Authority", "action": "establish and maintain public registry", "modality": "may", "object": "enforcement decisions and guidance documents", "conditions": [] }, "applicability": "Regulatory authorities maintaining enforcement records.", "severity": "medium", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 113", "text_snippet": "Establish and maintain a public registry of enforcement decisions and guidance documents." } }, { "rule_id": "SAN-114", "title": "Mandatory Tax Information Disclosure", "rule_type": "power", "summary": "Authority may require mandatory disclosure of tax information.", "core_obligation": { "actor": "Regulatory Authority", "action": "require tax information disclosure", "modality": "may", "object": "tax information", "conditions": [] }, "applicability": "Entities subject to tax disclosure requirements.", "severity": "high", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 114", "text_snippet": "Require mandatory disclosure of tax information.", "_origin_rule_id": "SAN-114" }, { "page": 7, "clause": "Item 130", "text_snippet": "Require mandatory disclosure of tax information.", "_origin_rule_id": "SAN-130" } ], "_merge_count": 2 }, { "rule_id": "SAN-115", "title": "Whistleblower Protection Programs", "rule_type": "power", "summary": "Authority may mandate the implementation of whistleblower protection programs.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate implementation", "modality": "may", "object": "whistleblower protection programs", "conditions": [] }, "applicability": "Entities required to establish internal compliance mechanisms.", "severity": "medium", "category": "Compliance", "source_ref": { "page": 7, "clause": "Item 115", "text_snippet": "Mandate the implementation of whistleblower protection programs." } }, { "rule_id": "SAN-116", "title": "Publication of Compliance Statistics", "rule_type": "power", "summary": "Authority may publish evaluations of compliance statistics and reports.", "core_obligation": { "actor": "Regulatory Authority", "action": "publish compliance evaluations", "modality": "may", "object": "compliance statistics and reports", "conditions": [] }, "applicability": "Regulatory authorities monitoring compliance.", "severity": "low", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 116", "text_snippet": "Publish evaluations of compliance statistics and reports." } }, { "rule_id": "SAN-117", "title": "Lobbying and Political Contribution Disclosure", "rule_type": "power", "summary": "Authority may impose mandatory disclosure of lobbying activities and political contributions.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose disclosure obligation", "modality": "may", "object": "lobbying activities and political contributions", "conditions": [] }, "applicability": "Entities engaged in lobbying or political activities.", "severity": "medium", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 117", "text_snippet": "Impose mandatory disclosure of lobbying activities and political contributions." } }, { "rule_id": "SAN-118", "title": "Consumer Education Programs", "rule_type": "power", "summary": "Authority may require the creation of consumer education programs related to the entity's products or services.", "core_obligation": { "actor": "Regulatory Authority", "action": "require creation of programs", "modality": "may", "object": "consumer education programs", "conditions": [ "related to the entity's products or services" ] }, "applicability": "Entities whose products or services require consumer education.", "severity": "medium", "category": "Compliance", "source_ref": [ { "page": 7, "clause": "Item 118", "text_snippet": "Require the creation of consumer education programs related to the entity's products or services.", "_origin_rule_id": "SAN-118" }, { "page": 7, "clause": "Item 131", "text_snippet": "Require the creation of consumer education programs related to the entity's products or services.", "_origin_rule_id": "SAN-131" } ], "_merge_count": 2 }, { "rule_id": "SAN-119", "title": "Compliance Labeling Systems", "rule_type": "power", "summary": "Authority may create and manage labeling systems for compliant and non-compliant entities.", "core_obligation": { "actor": "Regulatory Authority", "action": "create and manage labeling systems", "modality": "may", "object": "labeling systems", "conditions": [ "for compliant and non-compliant entities" ] }, "applicability": "Entities subject to compliance labeling.", "severity": "medium", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 119", "text_snippet": "Create and manage labeling systems for compliant and non-compliant entities.", "_origin_rule_id": "SAN-119" }, { "page": 7, "clause": "Item 132", "text_snippet": "Create and manage labeling systems for compliant and non-compliant entities.", "_origin_rule_id": "SAN-132" } ], "_merge_count": 2 }, { "rule_id": "SAN-120", "title": "Blockchain Technology for Transparency", "rule_type": "power", "summary": "Authority may mandate the use of blockchain or other distributed ledger technologies for enhanced transparency and traceability.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate technology use", "modality": "may", "object": "blockchain or distributed ledger technologies", "conditions": [ "for enhanced transparency and traceability" ] }, "applicability": "Entities where enhanced traceability is required.", "severity": "medium", "category": "Compliance", "source_ref": { "page": 7, "clause": "Item 120", "text_snippet": "Mandate the use of blockchain or other distributed ledger technologies for enhanced transparency and traceability" } }, { "rule_id": "SAN-121", "title": "Stakeholder Notification of Infringement", "rule_type": "power", "summary": "Authority may impose an obligation to notify customers, partners, or other stakeholders of the infringement.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose notification obligation", "modality": "may", "object": "infringement notification", "conditions": [ "to customers, partners, or other stakeholders" ] }, "applicability": "Entities whose infringements affect stakeholders.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 121", "text_snippet": "Impose an obligation to notify customers, partners, or other stakeholders of the infringement." } }, { "rule_id": "SAN-122", "title": "Publication of Corrective Statements", "rule_type": "power", "summary": "Authority may order the publication of corrective statements or apologies in relevant media outlets.", "core_obligation": { "actor": "Regulatory Authority", "action": "order publication", "modality": "may", "object": "corrective statements or apologies", "conditions": [ "in relevant media outlets" ] }, "applicability": "Offenders required to make public corrections.", "severity": "medium", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 122", "text_snippet": "Order the publication of corrective statements or apologies in relevant media outlets." } }, { "rule_id": "SAN-123", "title": "Gender Pay Gap Disclosure", "rule_type": "power", "summary": "Authority may require public disclosure of gender pay gap information.", "core_obligation": { "actor": "Regulatory Authority", "action": "require disclosure", "modality": "may", "object": "gender pay gap information", "conditions": [] }, "applicability": "Entities subject to gender pay equity reporting.", "severity": "medium", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 123", "text_snippet": "Require public disclosure of gender pay gap information.", "_origin_rule_id": "SAN-123" }, { "page": 7, "clause": "Item 133", "text_snippet": "Require public disclosure of gender pay gap information.", "_origin_rule_id": "SAN-133" } ], "_merge_count": 2 }, { "rule_id": "SAN-124", "title": "Modern Slavery Supply Chain Reporting", "rule_type": "power", "summary": "Authority may require public reporting on modern slavery risks in supply chains.", "core_obligation": { "actor": "Regulatory Authority", "action": "require reporting", "modality": "may", "object": "modern slavery risks in supply chains", "conditions": [] }, "applicability": "Entities with supply chain operations.", "severity": "high", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 124", "text_snippet": "Require public reporting on modern slavery risks in supply chains." } }, { "rule_id": "SAN-125", "title": "Sustainability and CSR Reporting (Sector-Specific)", "rule_type": "power", "summary": "Authority may impose mandatory sustainability and corporate social responsibility reporting related to compliance matters in specific sectors.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose reporting obligation", "modality": "may", "object": "sustainability and CSR reports", "conditions": [ "related to compliance matters", "sector-specific" ] }, "applicability": "Entities in specific regulated sectors.", "severity": "medium", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 125", "text_snippet": "Impose mandatory sustainability and corporate social responsibility reporting related to compliance matters." } }, { "rule_id": "SAN-126", "title": "Product Lifecycle Environmental Impact Disclosure", "rule_type": "power", "summary": "Authority may mandate disclosure of product lifecycle environmental impact data.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate disclosure", "modality": "may", "object": "product lifecycle environmental impact data", "conditions": [] }, "applicability": "Entities manufacturing or distributing products.", "severity": "medium", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 126", "text_snippet": "Mandate disclosure of product lifecycle environmental impact data.", "_origin_rule_id": "SAN-126" }, { "page": 7, "clause": "Item 134", "text_snippet": "Mandate disclosure of product lifecycle environmental impact data.", "_origin_rule_id": "SAN-134" } ], "_merge_count": 2 }, { "rule_id": "SAN-127", "title": "Workforce Diversity and Inclusion Reporting", "rule_type": "power", "summary": "Authority may require public reporting on workforce diversity and inclusion metrics.", "core_obligation": { "actor": "Regulatory Authority", "action": "require reporting", "modality": "may", "object": "workforce diversity and inclusion metrics", "conditions": [] }, "applicability": "Entities subject to diversity reporting requirements.", "severity": "medium", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 127", "text_snippet": "Require public reporting on workforce diversity and inclusion metrics.", "_origin_rule_id": "SAN-127" }, { "page": 7, "clause": "Item 135", "text_snippet": "Require public reporting on workforce diversity and inclusion metrics.", "_origin_rule_id": "SAN-135" } ], "_merge_count": 2 }, { "rule_id": "SAN-128", "title": "AI Algorithmic Decision-Making Disclosure", "rule_type": "power", "summary": "Authority may mandate disclosure of algorithmic decision-making processes in AI-driven services.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate disclosure", "modality": "may", "object": "algorithmic decision-making processes", "conditions": [ "in AI-driven services" ] }, "applicability": "Entities using AI for decision-making.", "severity": "high", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 128", "text_snippet": "Mandate disclosure of algorithmic decision-making processes in AI-driven services.", "_origin_rule_id": "SAN-128" }, { "page": 7, "clause": "Item 136", "text_snippet": "Mandate disclosure of algorithmic decision-making processes in AI-driven services.", "_origin_rule_id": "SAN-136" } ], "_merge_count": 2 }, { "rule_id": "SAN-129", "title": "Cybersecurity Incident Reporting", "rule_type": "power", "summary": "Authority may require public reporting on cybersecurity incidents and data breaches.", "core_obligation": { "actor": "Regulatory Authority", "action": "require reporting", "modality": "may", "object": "cybersecurity incidents and data breaches", "conditions": [] }, "applicability": "Entities handling sensitive data or critical systems.", "severity": "high", "category": "Disclosure", "source_ref": [ { "page": 7, "clause": "Item 129", "text_snippet": "Require public reporting on cybersecurity incidents and data breaches.", "_origin_rule_id": "SAN-129" }, { "page": 7, "clause": "Item 137", "text_snippet": "Require public reporting on cybersecurity incidents and data breaches.", "_origin_rule_id": "SAN-137" } ], "_merge_count": 2 }, { "rule_id": "SAN-138", "title": "Supply Chain Information Disclosure", "rule_type": "power", "summary": "Authority may require mandatory disclosure of supply chain information.", "core_obligation": { "actor": "Regulatory Authority", "action": "require disclosure", "modality": "may", "object": "supply chain information", "conditions": [] }, "applicability": "Entities with supply chain operations.", "severity": "medium", "category": "Disclosure", "source_ref": { "page": 7, "clause": "Item 138", "text_snippet": "Require mandatory disclosure of supply chain information." } }, { "rule_id": "SAN-139", "title": "Power to Order Compensation Payment", "rule_type": "power", "summary": "Authorities may order the payment of compensation to victims or affected parties.", "core_obligation": { "actor": "Regulatory Authority", "action": "order payment of compensation", "modality": "may", "object": "compensation to victims or affected parties", "conditions": [] }, "applicability": "Applicable to enforcement actions involving victims or affected parties.", "severity": "high", "category": "Compensation", "source_ref": { "page": 9, "clause": "Item 139", "text_snippet": "Order the payment of compensation to victims or affected parties. [ML Corruption, Section 45.VI.1; ML Alcohol-Cannabis-Tobacco, Section 69.I.t]" } }, { "rule_id": "SAN-140", "title": "Power to Mandate Victim Compensation Funds", "rule_type": "power", "summary": "Authorities may mandate the implementation of victim compensation funds.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate implementation of compensation funds", "modality": "may", "object": "victim compensation funds", "conditions": [] }, "applicability": "Applicable to enforcement actions requiring structured victim compensation mechanisms.", "severity": "high", "category": "Compensation", "source_ref": { "page": 9, "clause": "Item 140", "text_snippet": "Mandate the implementation of victim compensation funds. [U.S. Victims of Crime Act, Section 1402; ML Corruption, Section 45.IV.11; ML Environmental Liability, Section 31]" } }, { "rule_id": "SAN-141", "title": "Power to Mandate Rehabilitation or Education Programs", "rule_type": "power", "summary": "Authorities may mandate participation in rehabilitation or education programs.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate participation in programs", "modality": "may", "object": "rehabilitation or education programs", "conditions": [] }, "applicability": "Applicable to enforcement actions where remedial education or rehabilitation is appropriate.", "severity": "medium", "category": "Remedial Measures", "source_ref": { "page": 9, "clause": "Item 141", "text_snippet": "Mandate participation in rehabilitation or education programs. [Extrapolated from ML Corruption, Section 45.IV.4]" } }, { "rule_id": "SAN-142", "title": "Power to Impose Stakeholder Notification Obligation", "rule_type": "power", "summary": "Authorities may impose an obligation to notify customers, partners, or other stakeholders of the infringement.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose notification obligation", "modality": "may", "object": "notification to customers, partners, or stakeholders", "conditions": [ "regarding the infringement" ] }, "applicability": "Applicable to enforcement actions where stakeholder awareness is necessary.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 9, "clause": "Item 142", "text_snippet": "Impose an obligation to notify customers, partners, or other stakeholders of the infringement. [EU General Data Protection Regulation, Article 33]" } }, { "rule_id": "SAN-143", "title": "Power to Order Publication of Apologies", "rule_type": "power", "summary": "Authorities may order the publication of apologies in relevant media outlets.", "core_obligation": { "actor": "Regulatory Authority", "action": "order publication of apologies", "modality": "may", "object": "apologies in relevant media outlets", "conditions": [] }, "applicability": "Applicable to enforcement actions requiring public acknowledgment of wrongdoing.", "severity": "low", "category": "Reputational Measures", "source_ref": { "page": 9, "clause": "Item 143", "text_snippet": "Order the publication of apologies in relevant media outlets. [UK Enterprise Act 2002, Section 215]" } }, { "rule_id": "SAN-144", "title": "Power to Impose Liability on Directors or Officers", "rule_type": "power", "summary": "Authorities may impose liability on directors or officers for infringements committed by the legal person.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose liability on directors or officers", "modality": "may", "object": "directors or officers", "conditions": [ "for infringements committed by the legal person" ] }, "applicability": "Applicable to enforcement actions involving corporate infringements where individual accountability is warranted.", "severity": "high", "category": "Personal Liability", "source_ref": { "page": 9, "clause": "Item 144", "text_snippet": "Impose liability on directors or officers for infringements committed by the legal person. [ML Corruption, Section 45.VI.2; ML Alcohol-Cannabis-Tobacco, Section 69.I.u]" } }, { "rule_id": "SAN-145", "title": "Power to Order Implementation of Remedial Measures", "rule_type": "power", "summary": "Authorities may order the implementation of remedial measures or improvement plans.", "core_obligation": { "actor": "Regulatory Authority", "action": "order implementation of remedial measures", "modality": "may", "object": "remedial measures or improvement plans", "conditions": [] }, "applicability": "Applicable to enforcement actions requiring corrective action to address compliance deficiencies.", "severity": "medium", "category": "Remedial Measures", "source_ref": { "page": 9, "clause": "Item 145", "text_snippet": "Order the implementation of remedial measures or improvement plans. [EU General Data Protection Regulation, Article 58(2)(d); ]" } }, { "rule_id": "SAN-146", "title": "Power to Impose Mandatory Product Recall", "rule_type": "power", "summary": "Authorities may impose mandatory product recall procedures for non-compliant or dangerous products.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose product recall procedures", "modality": "may", "object": "non-compliant or dangerous products", "conditions": [] }, "applicability": "Applicable to enforcement actions involving product safety or compliance issues.", "severity": "high", "category": "Product Safety", "source_ref": { "page": 9, "clause": "Item 146", "text_snippet": "Impose mandatory product recall procedures for non-compliant or dangerous products. [ML Corruption, Section 28.II.119; ML Alcohol-Cannabis-Tobacco, Section 69.I.xxxx]" } }, { "rule_id": "SAN-147", "title": "Power to Issue Payment Notice for Cost Reimbursement", "rule_type": "power", "summary": "Authorities may issue a payment notice for reimbursement of costs, including calculation of costs and setting payment terms.", "core_obligation": { "actor": "Regulatory Authority", "action": "issue payment notice for cost reimbursement", "modality": "may", "object": "reimbursement of costs", "conditions": [ "including calculation of costs and setting payment terms" ] }, "applicability": "Applicable to enforcement actions where regulatory or remediation costs must be recovered.", "severity": "medium", "category": "Cost Recovery", "source_ref": { "page": 9, "clause": "Item 147", "text_snippet": "Issue a payment notice for reimbursement of costs, including calculation of costs and setting payment terms. [U.K. Environmental Damage (Prevention and Remediation) Regulations, Regulation 12]" } }, { "rule_id": "SAN-148", "title": "Power to Impose Late Interest for Non-Payment", "rule_type": "power", "summary": "Authorities may impose late interest for failure to reimburse costs by the due date.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose late interest", "modality": "may", "object": "late interest charges", "conditions": [ "for failure to reimburse costs by the due date" ] }, "applicability": "Applicable to enforcement actions involving cost reimbursement where payment deadlines are not met.", "severity": "medium", "category": "Financial Penalties", "source_ref": { "page": 9, "clause": "Item 148", "text_snippet": "Impose late interest for failure to reimburse costs by the due date. [U.K. Late Payment of Commercial Debts (Interest) Act, Section 1]" } }, { "rule_id": "SAN-149", "title": "Power to Implement Restorative Justice Processes", "rule_type": "power", "summary": "Authorities may implement restorative justice processes, where offenders meet with victims to discuss the impact of their actions and agree on a plan for reparation.", "core_obligation": { "actor": "Regulatory Authority", "action": "implement restorative justice processes", "modality": "may", "object": "restorative justice processes", "conditions": [ "where offenders meet with victims", "to discuss impact and agree on reparation plan" ] }, "applicability": "Applicable to enforcement actions where restorative approaches are appropriate.", "severity": "medium", "category": "Restorative Justice", "source_ref": { "page": 9, "clause": "Item 149", "text_snippet": "Restorative justice processes, where offenders meet with victims to discuss the impact of their actions and agree on a plan for reparation [New Zealand, the Sentencing Act 2002]" } }, { "rule_id": "SAN-150", "title": "Power to Mandate Carbon Offsetting Payments", "rule_type": "power", "summary": "Authorities may mandate carbon offsetting payments.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate carbon offsetting payments", "modality": "may", "object": "carbon offsetting payments", "conditions": [] }, "applicability": "Applicable to environmental enforcement actions in sectors with carbon emissions.", "severity": "high", "category": "Environmental Remediation", "source_ref": { "page": 9, "clause": "Item 150", "text_snippet": "Mandate carbon offsetting payments [Extrapolated from ML Environmental Liability, Section 9]" } }, { "rule_id": "SAN-151", "title": "Power to Mandate Environmental Remediation Programs", "rule_type": "power", "summary": "Authorities may mandate the implementation of environmental remediation programs.", "core_obligation": { "actor": "Regulatory Authority", "action": "mandate implementation of environmental remediation programs", "modality": "may", "object": "environmental remediation programs", "conditions": [] }, "applicability": "Applicable to enforcement actions involving environmental damage or contamination.", "severity": "high", "category": "Environmental Remediation", "source_ref": { "page": 9, "clause": "Item 151", "text_snippet": "Mandate the implementation of environmental remediation programs [U.S. Comprehensive Environmental Response, Compensation, and Liability Act, Section 104; ML Environmental Liability, Section 9]" } }, { "rule_id": "SAN-152", "title": "Power to Impose Environmental Damage Costs", "rule_type": "power", "summary": "Authorities may impose administrative costs related to the prevention or remediation of environmental damage on the responsible person.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose administrative costs", "modality": "may", "object": "costs related to prevention or remediation of environmental damage", "conditions": [ "on the responsible person" ] }, "applicability": "Applicable to enforcement actions involving environmental damage where costs must be recovered from responsible parties.", "severity": "high", "category": "Environmental Remediation", "source_ref": { "page": 9, "clause": "Item 152", "text_snippet": "Impose administrative costs related to the prevention or remediation of environmental damage on the responsible person. [U.S. Comprehensive Environmental Response, Compensation, and Liability Act, Section 107; ML Environmental Liability, Section 18]" } }, { "rule_id": "SAN-2024-001", "title": "Imprisonment Sanction Power", "rule_type": "sanction", "summary": "Regulatory authorities may impose imprisonment for a specified period for violations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose imprisonment", "modality": "may", "object": "violators", "conditions": [ "for a specified period" ] }, "applicability": "Applicable to corruption, alcohol-cannabis-tobacco, animal protection violations, and tax law offenses.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 1", "text_snippet": "Impose imprisonment for a specified period. [ML Corruption, Section 45.I.1; ML Alcohol-Cannabis-Tobacco, Section 23.I.1; ML Animal Protection, Section 80.III.a; Indian Prevention of Corruption Act, 1988, Section 13(1)(a); Japanese Tax Law (Law No. 228 of December 30, 1950), Article 64]" } }, { "rule_id": "SAN-2024-001", "title": "Government Benefits Suspension Sanction Reference", "rule_type": "sanction", "summary": "Reference to government benefits suspension as a potential sanction under PRWORA.", "core_obligation": { "actor": null, "action": "suspend government benefits", "modality": null, "object": "government benefits", "conditions": [] }, "applicability": "Potentially applicable under U.S. Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA)", "severity": null, "category": "Sanctions", "source_ref": { "page": 4, "clause": "Section 34.M > 35.G", "text_snippet": "overnment benefits suspension [U.S. Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA)]" }, "notes": "Incomplete text fragment - insufficient context to determine full rule structure, actors, conditions, or severity. This appears to be a reference within a larger list or section." }, { "rule_id": "SAN-2024-002", "title": "Fixed or Percentage-Based Fine Power", "rule_type": "sanction", "summary": "Regulatory authorities may impose fines based on a fixed amount or percentage of annual income/turnover.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fines", "modality": "may", "object": "violators", "conditions": [ "based on fixed amount or percentage of annual income/turnover" ] }, "applicability": "Applicable to bribery, corruption, alcohol-cannabis-tobacco, and animal protection violations.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 2", "text_snippet": "Impose fines based on a fixed amount or percentage of annual income/turnover. [UK Bribery Act, Section 7(3); ML Corruption, Section 45.I.1; ML Alcohol-Cannabis-Tobacco, Section 23.I.1; ML Animal Protection, Section 80.II.a; ML Corruption, Section 45.II.1]" } }, { "rule_id": "SAN-2024-003", "title": "Double Sanction for Repeat Violations", "rule_type": "sanction", "summary": "Regulatory authorities may double the sanction in case of repetition of the same type of deliberate or unintentional infringement.", "core_obligation": { "actor": "Regulatory Authority", "action": "double the sanction", "modality": "may", "object": "repeat violators", "conditions": [ "repetition of same type of infringement", "applies to deliberate or unintentional violations" ] }, "applicability": "Applicable to animal protection violations.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 3", "text_snippet": "Double the sanction in case of repetition of the same type of deliberate or unintentional infringement. [ML Animal Protection, Section 80.I, Section 80.II]" } }, { "rule_id": "SAN-2024-004", "title": "Per-Violation Environmental Fine", "rule_type": "sanction", "summary": "Regulatory authorities may impose fines up to a certain amount for each individual violation of environmental regulations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fines", "modality": "may", "object": "environmental violators", "conditions": [ "up to certain amount per individual violation" ] }, "applicability": "Applicable to environmental regulation violations under US Clean Air Act.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 4", "text_snippet": "Impose fines up to a certain amount for each individual violation of environmental regulations. [US Clean Air Act, Section 7410(a)(2)]" } }, { "rule_id": "SAN-2024-005", "title": "Daily Fine for Ongoing Non-Compliance", "rule_type": "sanction", "summary": "Regulatory authorities may impose a daily fine up to a certain amount for each day of ongoing non-compliance.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose daily fine", "modality": "may", "object": "non-compliant entities", "conditions": [ "up to certain amount per day", "for ongoing non-compliance" ] }, "applicability": "Applicable under Pakistan Environmental Protection Act, Mexican Federal Environmental Law, and EU GDPR.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 5", "text_snippet": "Impose a daily fine up to a certain amount for each day of ongoing non-compliance [Pakistan Environmental Protection Act,1997, Section 26; Mexican Federal Law on Environmental Matters Ley Federal de Protección al Medio Ambiente), Article 145; EU General Data Protection Regulation (GDPR), Article 83]" } }, { "rule_id": "SAN-2024-006", "title": "Interest on Financial Sanctions", "rule_type": "sanction", "summary": "Regulatory authorities may impose adequate interest rates for all financial sanctions and obligations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose interest rates", "modality": "may", "object": "financial sanctions and obligations", "conditions": [ "adequate interest rates" ] }, "applicability": "Applicable to animal protection violations.", "severity": "medium", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 6", "text_snippet": "Impose adequate interest rates for all financial sanctions and obligations [ML Animal Protection, Section 80.IV.h]" } }, { "rule_id": "SAN-2024-007", "title": "Severity-Based Fine Multipliers", "rule_type": "sanction", "summary": "Regulatory authorities may apply multipliers to fines based on the severity of the offense.", "core_obligation": { "actor": "Regulatory Authority", "action": "apply multipliers to fines", "modality": "may", "object": "violators", "conditions": [ "based on severity of offense" ] }, "applicability": "Applicable under U.S. Federal Sentencing Guidelines.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 7", "text_snippet": "Apply multipliers to fines based on the severity of the offense [U.S. Federal Sentencing Guidelines, Chapter 8;" } }, { "rule_id": "SAN-2024-008", "title": "Extended Liability to Related Entities", "rule_type": "sanction", "summary": "Regulatory authorities may extend sanctions and side measures to parent or subsidiary companies, other legal or natural persons, and their staff if they controlled the infringing person to the extent that they were in reality responsible for the infringement.", "core_obligation": { "actor": "Regulatory Authority", "action": "extend sanctions to related entities", "modality": "may", "object": "parent/subsidiary companies, controlling persons, staff", "conditions": [ "if they controlled the infringing person", "if they were in reality responsible for the infringement" ] }, "applicability": "Applicable under U.S. Foreign Corrupt Practices Act, ML Animal Protection, and ML Corruption.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 8", "text_snippet": "Extend sanctions and side measures to parent or subsidiary companies, other legal or natural persons, and their staff if they controlled the infringing person to the extent that they were in reality responsible for the infringement [U.S. Foreign Corrupt Practices Act, Section 30A; ML Animal Protection, Section 80.V; ML Corruption, Section 45.VI]" } }, { "rule_id": "SAN-2024-009", "title": "Sanctions for Negligent Financing or Support", "rule_type": "sanction", "summary": "Regulatory authorities may impose sanctions for negligently financing or otherwise supporting an act that constitutes an offense.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose sanctions", "modality": "may", "object": "persons negligently financing or supporting offenses", "conditions": [ "for negligently financing or supporting an offense" ] }, "applicability": "Applicable under U.K. Bribery Act and ML Corruption.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Basic types, Item 9", "text_snippet": "Impose sanctions for negligently financing or otherwise supporting an act that constitutes an offense [U.K. Bribery Act, Section 7; ML Corruption, Section 22.I]" } }, { "rule_id": "SAN-2024-010", "title": "Sanctions for Circumventing Internal Controls", "rule_type": "sanction", "summary": "Regulatory authorities may impose sanctions for knowingly circumventing or failing to implement a system of internal controls.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose sanctions", "modality": "may", "object": "persons circumventing or failing to implement internal controls", "conditions": [ "knowingly circumventing internal controls", "failing to implement internal controls system" ] }, "applicability": "Applicable to non-fulfilment of reporting and compliance obligations under U.S. Foreign Corrupt Practices Act and ML Corruption.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Specifically for non-fulfilment of reporting and similar compliance obligations, Item 10", "text_snippet": "Impose sanctions for knowingly circumventing or failing to implement a system of internal controls [U.S. Foreign Corrupt Practices Act, Section 13(b)(2)(A); ML Corruption, Section 22.III]" } }, { "rule_id": "SAN-2024-011", "title": "Sanctions for Falsifying Records", "rule_type": "sanction", "summary": "Regulatory authorities may impose sanctions for knowingly falsifying any book, record, or account relevant for an offense.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose sanctions", "modality": "may", "object": "persons falsifying records", "conditions": [ "knowingly falsifying books, records, or accounts", "relevant for an offense" ] }, "applicability": "Applicable to non-fulfilment of reporting and compliance obligations under U.S. Foreign Corrupt Practices Act and ML Corruption.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Specifically for non-fulfilment of reporting and similar compliance obligations, Item 11", "text_snippet": "Impose sanctions for knowingly falsifying any book, record, or account relevant for an offense [U.S. Foreign Corrupt Practices Act, Section 13(b)(2)(B); ML Corruption, Section 22.IV]" } }, { "rule_id": "SAN-2024-012", "title": "Sanctions for Destroying Evidence", "rule_type": "sanction", "summary": "Regulatory authorities may impose sanctions for destroying documents, data or other means of proof relevant for an offense.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose sanctions", "modality": "may", "object": "persons destroying evidence", "conditions": [ "destroying documents, data or proof", "relevant for an offense" ] }, "applicability": "Applicable to non-fulfilment of reporting and compliance obligations under U.S. Sarbanes-Oxley Act and ML Corruption.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Specifically for non-fulfilment of reporting and similar compliance obligations, Item 12", "text_snippet": "Impose sanctions for destroying documents, data or other means of proof relevant for an offense [U.S. Sarbanes-Oxley Act, Section 802; ML Corruption, Section 22.V]" } }, { "rule_id": "SAN-2024-013", "title": "Sanctions for Failure to Report Known Offenses", "rule_type": "sanction", "summary": "Regulatory authorities may impose sanctions for failure to report known offenses within one's sphere of responsibility.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose sanctions", "modality": "may", "object": "persons failing to report offenses", "conditions": [ "failure to report known offenses", "within sphere of responsibility" ] }, "applicability": "Applicable to non-fulfilment of reporting and compliance obligations under U.S. Dodd-Frank Act and ML Corruption.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Specifically for non-fulfilment of reporting and similar compliance obligations, Item 13", "text_snippet": "Impose sanctions for failure to report known offenses within one's sphere of responsibility [U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 922; ML Corruption, Section 22.II]" } }, { "rule_id": "SAN-2024-014", "title": "Deferred Prosecution Agreements", "rule_type": "power", "summary": "Regulatory authorities may offer deferred prosecution agreements that allow organisations and persons acting for them to avoid criminal charges by agreeing to implement compliance reforms and pay fines.", "core_obligation": { "actor": "Regulatory Authority", "action": "offer deferred prosecution agreements", "modality": "may", "object": "organisations and persons", "conditions": [ "agreement to implement compliance reforms", "payment of fines", "avoids criminal charges" ] }, "applicability": "Applicable as incentive mechanism under U.S. Department of Justice's Corporate Enforcement Policy.", "severity": "medium", "category": "Enforcement Mechanisms", "source_ref": { "page": 2, "clause": "Incentives used in relation to classic penalties, Item 14", "text_snippet": "Deferred prosecution agreements: These allow organisations and persons acting for them to avoid criminal charges by agreeing to implement compliance reforms and pay fines [U.S. Department of Justice's Corporate Enforcement Policy]" } }, { "rule_id": "SAN-2024-015", "title": "Fine Reduction for Early Payment", "rule_type": "power", "summary": "Regulatory authorities may offer reduction of fines if paid within a shorter deadline.", "core_obligation": { "actor": "Regulatory Authority", "action": "reduce fines", "modality": "may", "object": "violators paying early", "conditions": [ "payment within shorter deadline" ] }, "applicability": "Applicable as incentive mechanism for fine payment.", "severity": "low", "category": "Enforcement Mechanisms", "source_ref": { "page": 2, "clause": "Incentives used in relation to classic penalties, Item 15", "text_snippet": "Reduction of fines if paid within a shorter deadline." } }, { "rule_id": "SAN-2024-016", "title": "Probation with Suspended Sentence", "rule_type": "sanction", "summary": "Regulatory authorities may impose probation period plus suspended prison sentence instead of immediate prison sentence, subject to conditions such as regular reporting to a probation officer and restrictions on travel.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose probation with suspended sentence", "modality": "may", "object": "violators", "conditions": [ "instead of immediate prison sentence", "regular reporting to probation officer", "restrictions on travel", "subject to other conditions" ] }, "applicability": "Applicable as incentive mechanism under U.S. Sentencing Guidelines.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "Incentives used in relation to classic penalties, Item 16", "text_snippet": "Probation period plus suspended prison sentence instead of immediate prison sentence, subject to conditions, e.g. regular reporting to a probation officer, restrictions on travel [U.S. Sentencing Guidelines Manual § 5B1.1]" } }, { "rule_id": "SAN-2024-017", "title": "Anti-Money Laundering Fine - Australia", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to $1.7 million for violations of anti-money laundering regulations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fine", "modality": "may", "object": "anti-money laundering violators", "conditions": [ "up to $1.7 million", "for AML violations" ] }, "applicability": "Applicable under Australian Anti-Money Laundering and Counter-Terrorism Financing Act 2006.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 17", "text_snippet": "Fine up to $1.7 million for violations of anti-money laundering regulations. [Australian Anti-Money Laundering and Counter-Terrorism Financing Act 2006, Section 11(2)]" } }, { "rule_id": "SAN-2024-018", "title": "Environmental Pollution Penalty - EU", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to €5 million or imprisonment up to 5 years for environmental pollution.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fine or imprisonment", "modality": "may", "object": "environmental polluters", "conditions": [ "fine up to €5 million OR imprisonment up to 5 years" ] }, "applicability": "Applicable under EU Environmental Crime Directive.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 18", "text_snippet": "Fine up to €5 million or imprisonment up to 5 years for environmental pollution[EU Environmental Crime Directive, Article 10]" } }, { "rule_id": "SAN-2024-019", "title": "Environmental Non-Compliance Daily Fine - Canada", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to CAD 50,000 per day for non-compliance with Canadian environmental regulations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose daily fine", "modality": "may", "object": "environmental regulation violators", "conditions": [ "up to CAD 50,000 per day", "for non-compliance" ] }, "applicability": "Applicable under Canadian Environmental Protection Act, 1999.", "severity": "high", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 19", "text_snippet": "Fine up to CAD 50,000 per day for non-compliance with Canadian environmental regulations under the Canadian Environmental Protection Act, 1999, Section 32(1)." } }, { "rule_id": "SAN-2024-020", "title": "Organized Crime Imprisonment - Russia", "rule_type": "sanction", "summary": "Regulatory authorities may impose imprisonment up to 20 years for organized crime offenses.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose imprisonment", "modality": "may", "object": "organized crime offenders", "conditions": [ "up to 20 years" ] }, "applicability": "Applicable under Russian Criminal Code.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 20", "text_snippet": "Imprisonment up to 20 years for organized crime offenses [Russian Criminal Code, Article 210]" } }, { "rule_id": "SAN-2024-021", "title": "Environmental Pollution Fine - South Africa", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to ZAR 10 million for environmental pollution.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fine", "modality": "may", "object": "environmental polluters", "conditions": [ "up to ZAR 10 million" ] }, "applicability": "Applicable under South African Environmental Conservation Act.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 21", "text_snippet": "Fine up to ZAR 10 million for environmental pollution [South African Environmental Conservation Act, No. 73 of 1989, Section 24E]" } }, { "rule_id": "SAN-2024-022", "title": "Cartel Conduct Fine - EU", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to €20 million for cartel conduct.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fine", "modality": "may", "object": "cartel participants", "conditions": [ "up to €20 million" ] }, "applicability": "Applicable under EU Cartel Regulation.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 22", "text_snippet": "Fine up to €20 million for cartel conduct [EU Cartel Regulation (Council Regulation (EC) No 1/2003), Article 23(1)]" } }, { "rule_id": "SAN-2024-023", "title": "Antitrust Violation Fine - Japan", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to ¥500 million for antitrust violations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fine", "modality": "may", "object": "antitrust violators", "conditions": [ "up to ¥500 million" ] }, "applicability": "Applicable under Japanese Antimonopoly Act.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 23", "text_snippet": "Fine up to ¥500 million for antitrust violations [Japanese Antimonopoly Act (Act No. 54 of April 14, 1947), Article 7]" } }, { "rule_id": "SAN-2024-024", "title": "Price-Fixing Imprisonment - Australia", "rule_type": "sanction", "summary": "Regulatory authorities may impose imprisonment up to 10 years for price-fixing offenses.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose imprisonment", "modality": "may", "object": "price-fixing offenders", "conditions": [ "up to 10 years" ] }, "applicability": "Applicable under Australian Competition and Consumer Act 2010.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 24", "text_snippet": "Imprisonment up to 10 years for price-fixing offenses [Australian Competition and Consumer Act 2010, Section 44ZZRF]" } }, { "rule_id": "SAN-2024-025", "title": "Anti-Competitive Behavior Fine - New Zealand", "rule_type": "sanction", "summary": "Regulatory authorities may impose fine up to NZD 10 million for anti-competitive behavior.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fine", "modality": "may", "object": "entities engaging in anti-competitive behavior", "conditions": [ "up to NZD 10 million" ] }, "applicability": "Applicable under New Zealand Commerce Act 1986.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 25", "text_snippet": "Fine up to NZD 10 million for anti-competitive behavior [New Zealand Commerce Act 1986, Section 36]" } }, { "rule_id": "SAN-2024-026", "title": "Illegal Logging Imprisonment - Brazil", "rule_type": "sanction", "summary": "Regulatory authorities may impose imprisonment up to 5 years for illegal logging offenses.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose imprisonment", "modality": "may", "object": "illegal logging offenders", "conditions": [ "up to 5 years" ] }, "applicability": "Applicable under Brazilian Forest Code.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 26", "text_snippet": "Imprisonment up to 5 years for illegal logging offenses [Brazilian Forest Code (Law No. 4,771 of September 15, 1965), Article 58]" } }, { "rule_id": "SAN-2024-027", "title": "Terrorism Offense Life Imprisonment - China", "rule_type": "sanction", "summary": "Regulatory authorities may impose imprisonment up to life for terrorism offenses.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose imprisonment", "modality": "may", "object": "terrorism offenders", "conditions": [ "up to life imprisonment" ] }, "applicability": "Applicable under Chinese Criminal Law.", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 2, "clause": "More of the same, Item 27", "text_snippet": "Imprisonment up to life for terrorism offenses [Chinese Criminal Law (Law No.97 of July 1, 1979), Article 120]" } }, { "rule_id": "STD-001", "title": "Proportionality of Conformity Assessment Procedures", "rule_type": "obligation", "summary": "Conformity assessment procedures must be proportionate to the risks involved.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "design procedures proportionate to risks", "modality": "shall", "object": "conformity assessment procedures", "conditions": [ "proportionate to the risks involved" ] }, "applicability": "All CABs conducting conformity assessments", "severity": "high", "category": "Procedural Requirements", "source_ref": { "page": 22, "clause": "Section 31.1(a)", "text_snippet": "Conformity assessment procedures shall be proportionate to the risks involved" } }, { "rule_id": "STD-001", "title": "Product Design and Manufacturing Compliance", "rule_type": "obligation", "summary": "Manufacturers shall ensure that their products are designed and manufactured in accordance with applicable requirements.", "core_obligation": { "actor": "Manufacturer", "action": "design and manufacture products in accordance with applicable requirements", "modality": "shall", "object": "products", "conditions": [ "in accordance with applicable requirements" ] }, "applicability": "All manufacturers placing products on the market.", "severity": "high", "category": "Product Compliance", "source_ref": { "page": 34, "clause": "Section 48.1(a)", "text_snippet": "Manufacturers shall: (a) Ensure that their products are designed and manufactured in accordance with applicable requirements" } }, { "rule_id": "STD-001", "title": "Quality and Safety Standards Compliance", "rule_type": "obligation", "summary": "Service providers must ensure their services meet all applicable quality and safety standards.", "core_obligation": { "actor": "Service providers", "action": "ensure services meet quality and safety standards", "modality": "shall", "object": "services", "conditions": [ "all applicable quality and safety standards must be met" ] }, "applicability": "All service providers", "severity": "high", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.1(a)", "text_snippet": "Service providers shall: (a) Ensure that their services meet all applicable quality and safety standards" } }, { "rule_id": "STD-001", "title": "Annual Comprehensive Risk Assessment", "rule_type": "obligation", "summary": "All regulated entities must conduct comprehensive risk assessments at least annually to identify, analyse, and evaluate risks related to their regulated activities.", "core_obligation": { "actor": "Regulated entities (private or public)", "action": "conduct comprehensive risk assessments", "modality": "shall", "object": "risks related to regulated activities", "conditions": [ "at least annually", "to identify, analyse, and evaluate risks" ] }, "applicability": "All regulated entities, whether private or public", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.1(a)", "text_snippet": "All regulated entities, whether private or public, shall: (a) Conduct comprehensive risk assessments at least annually..." } }, { "rule_id": "STD-001", "title": "Continuous Sector Monitoring", "rule_type": "obligation", "summary": "The Competent Authority must continuously monitor the regulated sector to identify emerging risks and regulatory gaps.", "core_obligation": { "actor": "Competent Authority", "action": "continuously monitor", "modality": "shall", "object": "regulated sector", "conditions": [ "to identify emerging risks and regulatory gaps" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(a)", "text_snippet": "Continuously monitor the regulated sector to identify emerging risks and regulatory gaps" } }, { "rule_id": "STD-001", "title": "Establishment of Regulatory Coordination Committee", "rule_type": "obligation", "summary": "A Regulatory Coordination Committee (RCC) must be established comprising representatives from all relevant regulatory authorities.", "core_obligation": { "actor": "Regulatory authorities", "action": "establish Regulatory Coordination Committee", "modality": "shall", "object": "RCC with representatives from all relevant regulatory authorities", "conditions": [] }, "applicability": "All relevant regulatory authorities", "severity": "high", "category": "Governance", "source_ref": { "page": 43, "clause": "Section 61.1(a)", "text_snippet": "A Regulatory Coordination Committee (RCC) is hereby established, comprising representatives from all relevant regulatory authorities." } }, { "rule_id": "STD-002", "title": "Standards-Based Procedures", "rule_type": "obligation", "summary": "Conformity assessment procedures must be based on relevant international or national standards.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "base procedures on standards", "modality": "shall", "object": "conformity assessment procedures", "conditions": [ "based on relevant international or national standards" ] }, "applicability": "All CABs conducting conformity assessments", "severity": "high", "category": "Procedural Requirements", "source_ref": { "page": 22, "clause": "Section 31.1(b)", "text_snippet": "Procedures shall be based on relevant international or national standards" } }, { "rule_id": "STD-002", "title": "Conformity Assessment Procedure", "rule_type": "obligation", "summary": "Manufacturers shall carry out the applicable conformity assessment procedure or have it carried out.", "core_obligation": { "actor": "Manufacturer", "action": "carry out or have carried out the conformity assessment procedure", "modality": "shall", "object": "conformity assessment procedure", "conditions": [ "applicable procedure must be followed" ] }, "applicability": "All manufacturers subject to conformity assessment requirements.", "severity": "high", "category": "Product Compliance", "source_ref": { "page": 34, "clause": "Section 48.1(b)", "text_snippet": "Carry out the applicable conformity assessment procedure or have it carried out" } }, { "rule_id": "STD-002", "title": "Quality Management System Implementation", "rule_type": "obligation", "summary": "Service providers must implement and maintain a quality management system appropriate to their services, such as ISO 9001 or sector-specific standards.", "core_obligation": { "actor": "Service providers", "action": "implement and maintain quality management system", "modality": "shall", "object": "quality management system", "conditions": [ "appropriate to the nature of their services", "such as ISO 9001 or relevant sector-specific standards" ] }, "applicability": "All service providers", "severity": "high", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.1(b)", "text_snippet": "Implement and maintain a quality management system appropriate to the nature of their services, such as ISO 9001 or relevant sector-specific standards" } }, { "rule_id": "STD-002", "title": "Risk Assessment Documentation", "rule_type": "obligation", "summary": "Regulated entities must document the methodology, process, and results of all risk assessments.", "core_obligation": { "actor": "Regulated entities", "action": "document", "modality": "shall", "object": "methodology, process, and results of risk assessments", "conditions": [] }, "applicability": "All regulated entities conducting risk assessments", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.1(b)", "text_snippet": "(b) Document the methodology, process, and results of these risk assessments" } }, { "rule_id": "STD-002", "title": "Development of New Regulations", "rule_type": "obligation", "summary": "The Competent Authority must develop and propose new regulations or amendments to address identified issues.", "core_obligation": { "actor": "Competent Authority", "action": "develop and propose", "modality": "shall", "object": "new regulations or amendments to existing regulations", "conditions": [ "as necessary to address identified issues" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(b)", "text_snippet": "Develop and propose new regulations or amendments to existing regulations as necessary to address identified issues" } }, { "rule_id": "STD-002", "title": "RCC Quarterly Meeting Requirement", "rule_type": "obligation", "summary": "The RCC must meet at least quarterly to discuss regulatory issues and coordinate activities.", "core_obligation": { "actor": "RCC", "action": "meet to discuss regulatory issues and coordinate activities", "modality": "shall", "object": "quarterly meetings", "conditions": [ "at least quarterly" ] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Governance", "source_ref": { "page": 43, "clause": "Section 61.1(b)(i)", "text_snippet": "Meet at least quarterly to discuss regulatory issues and coordinate activities" } }, { "rule_id": "STD-003", "title": "Transparency and Non-Discrimination in Procedures", "rule_type": "obligation", "summary": "Conformity assessment procedures must be conducted in a transparent and non-discriminatory manner.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "conduct procedures transparently and without discrimination", "modality": "shall", "object": "conformity assessment procedures", "conditions": [ "in a transparent manner", "in a non-discriminatory manner" ] }, "applicability": "All CABs conducting conformity assessments", "severity": "critical", "category": "Procedural Requirements", "source_ref": { "page": 22, "clause": "Section 31.1(c)", "text_snippet": "Procedures shall be conducted in a transparent and non-discriminatory manner" } }, { "rule_id": "STD-003", "title": "Technical Documentation Retention", "rule_type": "obligation", "summary": "Manufacturers shall draw up the required technical documentation and keep it for [X] years after the product has been placed on the market.", "core_obligation": { "actor": "Manufacturer", "action": "draw up and retain technical documentation", "modality": "shall", "object": "technical documentation", "conditions": [ "for [X] years after product placement on market" ] }, "applicability": "All manufacturers placing products on the market.", "severity": "medium", "category": "Record Keeping", "source_ref": { "page": 34, "clause": "Section 48.1(c)", "text_snippet": "Draw up the required technical documentation and keep it for [X] years after the product has been placed on the market" } }, { "rule_id": "STD-003", "title": "Regular Quality and Safety Assessment", "rule_type": "obligation", "summary": "Service providers must regularly assess and improve the quality and safety of their services.", "core_obligation": { "actor": "Service providers", "action": "assess and improve quality and safety", "modality": "shall", "object": "services", "conditions": [ "regularly" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.1(c)", "text_snippet": "Regularly assess and improve the quality and safety of their services" } }, { "rule_id": "STD-003", "title": "Comprehensive Risk Factor Consideration", "rule_type": "obligation", "summary": "Regulated entities must consider both internal and external risk factors including operational, financial, legal, environmental, health and safety, technological, and reputational risks.", "core_obligation": { "actor": "Regulated entities", "action": "consider risk factors", "modality": "shall", "object": "internal and external risk factors", "conditions": [ "including operational, financial, legal/regulatory compliance, environmental, health and safety, technological, and reputational risks" ] }, "applicability": "All regulated entities conducting risk assessments", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.1(c)", "text_snippet": "(c) Consider both internal and external risk factors, including but not limited to: (i) Operational risks; (ii) Financial risks..." } }, { "rule_id": "STD-003", "title": "Regulatory Impact Assessment", "rule_type": "obligation", "summary": "The Competent Authority must conduct comprehensive regulatory impact assessments for all proposed regulations, including cost-benefit analysis, stakeholder consultation, and assessment of unintended consequences.", "core_obligation": { "actor": "Competent Authority", "action": "conduct regulatory impact assessments", "modality": "shall", "object": "all proposed regulations", "conditions": [ "including cost-benefit analysis", "stakeholder consultation", "assessment of potential unintended consequences" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(c)", "text_snippet": "Conduct regulatory impact assessments for all proposed regulations, including: (i) Cost-benefit analysis; (ii) Stakeholder consultation; and (iii) Assessment of potential unintended consequences" } }, { "rule_id": "STD-003", "title": "Establishment of RCC Working Groups", "rule_type": "obligation", "summary": "The RCC must establish working groups for specific cross-cutting regulatory matters.", "core_obligation": { "actor": "RCC", "action": "establish working groups", "modality": "shall", "object": "working groups for cross-cutting regulatory matters", "conditions": [ "for specific cross-cutting regulatory matters" ] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Governance", "source_ref": { "page": 43, "clause": "Section 61.1(b)(ii)", "text_snippet": "Establish working groups for specific cross-cutting regulatory matters" } }, { "rule_id": "STD-004", "title": "Confidentiality of Proprietary Information", "rule_type": "obligation", "summary": "Conformity assessment procedures must respect the confidentiality of proprietary information.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "respect confidentiality", "modality": "shall", "object": "proprietary information", "conditions": [ "during conformity assessment procedures" ] }, "applicability": "All CABs handling proprietary information during assessments", "severity": "high", "category": "Data Protection", "source_ref": { "page": 22, "clause": "Section 31.1(d)", "text_snippet": "Procedures shall respect the confidentiality of proprietary information" } }, { "rule_id": "STD-004", "title": "Conformity Marking Requirement", "rule_type": "obligation", "summary": "Manufacturers shall affix the required conformity marking (e.g., CE marking) where applicable.", "core_obligation": { "actor": "Manufacturer", "action": "affix conformity marking", "modality": "shall", "object": "conformity marking (e.g., CE marking)", "conditions": [ "where applicable" ] }, "applicability": "Manufacturers of products requiring conformity marking.", "severity": "high", "category": "Product Compliance", "source_ref": { "page": 34, "clause": "Section 48.1(d)", "text_snippet": "Affix the required conformity marking (e.g., CE marking) where applicable" } }, { "rule_id": "STD-004", "title": "Risk Assessment and Mitigation", "rule_type": "obligation", "summary": "Service providers must conduct risk assessments for all services and implement appropriate risk mitigation measures.", "core_obligation": { "actor": "Service providers", "action": "conduct risk assessments and implement mitigation measures", "modality": "shall", "object": "all services offered", "conditions": [ "risk assessments for all services", "implement appropriate risk mitigation measures" ] }, "applicability": "All service providers", "severity": "high", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.1(d)", "text_snippet": "Conduct risk assessments for all services offered and implement appropriate risk mitigation measures" } }, { "rule_id": "STD-004", "title": "Risk Assessment Review and Update Requirements", "rule_type": "obligation", "summary": "Regulated entities must review and update risk assessments annually, when significant changes occur, and following major incidents or near misses.", "core_obligation": { "actor": "Regulated entities", "action": "review and update risk assessments", "modality": "shall", "object": "risk assessments", "conditions": [ "annually", "when significant changes in operations, structure, or external environment occur", "following any major incidents or near misses" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.1(d)", "text_snippet": "(d) Review and update risk assessments: (i) Annually; (ii) When there are significant changes..." } }, { "rule_id": "STD-004", "title": "Public Comment Period for Draft Regulations", "rule_type": "obligation", "summary": "The Competent Authority must publish draft regulations for public comment with a minimum 60-day feedback period.", "core_obligation": { "actor": "Competent Authority", "action": "publish", "modality": "shall", "object": "draft regulations for public comment", "conditions": [ "allowing at least 60 days for submission of feedback" ] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(d)", "text_snippet": "Publish draft regulations for public comment, allowing at least 60 days for submission of feedback" } }, { "rule_id": "STD-004", "title": "Development of Shared Regulatory Agenda", "rule_type": "obligation", "summary": "The RCC must develop and maintain a shared regulatory agenda outlining planned regulatory activities across authorities.", "core_obligation": { "actor": "RCC", "action": "develop and maintain shared regulatory agenda", "modality": "shall", "object": "shared regulatory agenda outlining planned activities", "conditions": [ "outlining planned regulatory activities across authorities" ] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Coordination", "source_ref": { "page": 43, "clause": "Section 61.1(b)(iii)", "text_snippet": "Develop and maintain a shared regulatory agenda outlining planned regulatory activities across authorities" } }, { "rule_id": "STD-005", "title": "Minimization of Burden on Economic Operators", "rule_type": "obligation", "summary": "Conformity assessment procedures must be designed to minimize the burden on economic operators.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "design procedures to minimize burden", "modality": "shall", "object": "conformity assessment procedures", "conditions": [ "to minimise the burden on economic operators" ] }, "applicability": "All CABs conducting conformity assessments", "severity": "medium", "category": "Procedural Requirements", "source_ref": { "page": 22, "clause": "Section 31.1(e)", "text_snippet": "Procedures shall be designed to minimise the burden on economic operators" } }, { "rule_id": "STD-005", "title": "Series Production Conformity Procedures", "rule_type": "obligation", "summary": "Manufacturers shall ensure that procedures are in place for series production to remain in conformity.", "core_obligation": { "actor": "Manufacturer", "action": "ensure procedures are in place for series production conformity", "modality": "shall", "object": "conformity procedures", "conditions": [ "for series production" ] }, "applicability": "All manufacturers engaged in series production.", "severity": "high", "category": "Manufacturing Standards", "source_ref": { "page": 34, "clause": "Section 48.2(a)", "text_snippet": "Ensure that procedures are in place for series production to remain in conformity" } }, { "rule_id": "STD-005", "title": "KPI Establishment and Monitoring", "rule_type": "obligation", "summary": "Service providers must establish KPIs for service quality and safety, and regularly monitor and report on these KPIs.", "core_obligation": { "actor": "Service providers", "action": "establish, monitor, and report on KPIs", "modality": "shall", "object": "key performance indicators for service quality and safety", "conditions": [ "regularly monitor and report" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.1(e)", "text_snippet": "Establish key performance indicators (KPIs) for service quality and safety, and regularly monitor and report on these KPIs" } }, { "rule_id": "STD-005", "title": "Written Risk Management Policy Requirement", "rule_type": "obligation", "summary": "Regulated entities must implement a written risk management policy approved by the board of directors or equivalent governing body.", "core_obligation": { "actor": "Regulated entities", "action": "implement", "modality": "shall", "object": "written risk management policy", "conditions": [ "approved by the board of directors or equivalent governing body" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(a)", "text_snippet": "(a) A written risk management policy approved by the board of directors or equivalent governing body" } }, { "rule_id": "STD-005", "title": "Review of Public Comments", "rule_type": "obligation", "summary": "The Competent Authority must review and consider all submitted comments before finalising regulations.", "core_obligation": { "actor": "Competent Authority", "action": "review and consider", "modality": "shall", "object": "all submitted comments", "conditions": [ "before finalising regulations" ] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(e)", "text_snippet": "Review and consider all submitted comments before finalising regulations" } }, { "rule_id": "STD-005", "title": "Annual Reporting to Government", "rule_type": "obligation", "summary": "The RCC must report annually to the government on the state of regulatory coordination.", "core_obligation": { "actor": "RCC", "action": "report to government", "modality": "shall", "object": "annual report on state of regulatory coordination", "conditions": [ "annually", "to the government" ] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Reporting", "source_ref": { "page": 43, "clause": "Section 61.1(b)(iv)", "text_snippet": "Report annually to the government on the state of regulatory coordination" } }, { "rule_id": "STD-006", "title": "Types of Conformity Assessment Authorized", "rule_type": "power", "summary": "CABs may conduct various types of conformity assessment as authorized in their designation, including testing, inspection, certification, and remote assessments.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "conduct conformity assessments", "modality": "may", "object": "testing, inspection, certification of products/processes/systems/persons, remote assessments", "conditions": [ "as authorised in their designation" ] }, "applicability": "CABs with appropriate designation", "severity": "medium", "category": "Powers and Permissions", "source_ref": { "page": 22, "clause": "Section 31.2", "text_snippet": "CABs may conduct the following types of conformity assessment, as authorised in their designation" } }, { "rule_id": "STD-006", "title": "Non-Conformity Corrective Action", "rule_type": "obligation", "summary": "Manufacturers shall take necessary action in case a product is not in conformity.", "core_obligation": { "actor": "Manufacturer", "action": "take necessary corrective action", "modality": "shall", "object": "non-conforming products", "conditions": [ "when product is not in conformity" ] }, "applicability": "All manufacturers when non-conformity is identified.", "severity": "critical", "category": "Product Safety", "source_ref": { "page": 34, "clause": "Section 48.2(b)", "text_snippet": "Take necessary action in case a product is not in conformity" } }, { "rule_id": "STD-006", "title": "Clear and Accurate Service Information", "rule_type": "obligation", "summary": "Service providers must provide clear and accurate information about their services, including any associated risks.", "core_obligation": { "actor": "Service providers", "action": "provide clear and accurate information", "modality": "shall", "object": "information about services and risks", "conditions": [ "including any risks associated with the service" ] }, "applicability": "All service providers", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.2(a)", "text_snippet": "Provide clear and accurate information about their services, including any risks associated with the service" } }, { "rule_id": "STD-006", "title": "Risk Management Roles and Responsibilities", "rule_type": "obligation", "summary": "Regulated entities must establish clearly defined roles and responsibilities for risk management at all organizational levels.", "core_obligation": { "actor": "Regulated entities", "action": "establish and define", "modality": "shall", "object": "roles and responsibilities for risk management", "conditions": [ "at all levels of the organisation" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(b)", "text_snippet": "(b) Clearly defined roles and responsibilities for risk management at all levels of the organisation" } }, { "rule_id": "STD-006", "title": "Written Response to Significant Comments", "rule_type": "obligation", "summary": "The Competent Authority must provide written responses to significant comments, explaining rationale for accepting or rejecting suggestions.", "core_obligation": { "actor": "Competent Authority", "action": "provide a written response", "modality": "shall", "object": "significant comments received", "conditions": [ "explaining the rationale for accepting or rejecting suggestions" ] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(f)", "text_snippet": "Provide a written response to significant comments received, explaining the rationale for accepting or rejecting suggestions" } }, { "rule_id": "STD-006", "title": "Competent Authority as RCC Secretariat", "rule_type": "obligation", "summary": "The Competent Authority must serve as the secretariat for the RCC, responsible for organizing meetings, facilitating information exchange, monitoring implementation, and providing administrative support.", "core_obligation": { "actor": "Competent Authority", "action": "serve as secretariat for RCC", "modality": "shall", "object": "secretariat functions including organizing meetings, facilitating information exchange, monitoring implementation, and providing administrative support", "conditions": [] }, "applicability": "Competent Authority", "severity": "high", "category": "Governance", "source_ref": { "page": 43, "clause": "Section 61.1(c)", "text_snippet": "The Competent Authority shall serve as the secretariat for the RCC, responsible for: (i) Organising meetings and maintaining records; (ii) Facilitating information exchange between members; (iii) Monitoring implementation of RCC decisions; and (iv) Providing administrative support for RCC activities." } }, { "rule_id": "STD-007", "title": "Application to Designated CAB", "rule_type": "obligation", "summary": "An entity seeking conformity assessment must apply to a designated CAB with all necessary information.", "core_obligation": { "actor": "Entity seeking conformity assessment", "action": "apply to designated CAB", "modality": "shall", "object": "application with necessary information", "conditions": [ "to a designated CAB", "include all information necessary for the conformity assessment" ] }, "applicability": "All entities seeking conformity assessment", "severity": "medium", "category": "Application Process", "source_ref": { "page": 22, "clause": "Section 31.3(a)(i-ii)", "text_snippet": "An entity seeking conformity assessment shall apply to a designated CAB...The application shall include all information necessary" } }, { "rule_id": "STD-007", "title": "Sample Testing of Marketed Products", "rule_type": "obligation", "summary": "Manufacturers shall carry out sample testing of marketed products when appropriate, considering the risks presented by a product.", "core_obligation": { "actor": "Manufacturer", "action": "carry out sample testing of marketed products", "modality": "shall", "object": "marketed products", "conditions": [ "when appropriate", "considering the risks presented by the product" ] }, "applicability": "Manufacturers of products presenting risks requiring monitoring.", "severity": "medium", "category": "Product Safety", "source_ref": { "page": 34, "clause": "Section 48.2(c)", "text_snippet": "Carry out sample testing of marketed products when appropriate, considering the risks presented by a product" } }, { "rule_id": "STD-007", "title": "Non-Misleading Marketing", "rule_type": "obligation", "summary": "Service providers must ensure that their advertising and marketing materials are not misleading.", "core_obligation": { "actor": "Service providers", "action": "ensure marketing materials are not misleading", "modality": "shall", "object": "advertising and marketing materials", "conditions": [] }, "applicability": "All service providers", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.2(b)", "text_snippet": "Ensure that their advertising and marketing materials are not misleading" } }, { "rule_id": "STD-007", "title": "Risk Appetite and Tolerance Statements", "rule_type": "obligation", "summary": "Regulated entities must establish risk appetite statements and risk tolerance levels approved by senior management.", "core_obligation": { "actor": "Regulated entities", "action": "establish", "modality": "shall", "object": "risk appetite statements and risk tolerance levels", "conditions": [ "approved by senior management" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(c)", "text_snippet": "(c) Risk appetite statements and risk tolerance levels approved by senior management" } }, { "rule_id": "STD-007", "title": "Post-Implementation Review of Regulations", "rule_type": "obligation", "summary": "The Competent Authority must conduct post-implementation reviews of new regulations within two years to assess effectiveness and identify necessary adjustments.", "core_obligation": { "actor": "Competent Authority", "action": "conduct post-implementation reviews", "modality": "shall", "object": "new regulations", "conditions": [ "within two years of their effective date", "to assess their effectiveness and identify any necessary adjustments" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(g)", "text_snippet": "Conduct post-implementation reviews of new regulations within two years of their effective date to assess their effectiveness and identify any necessary adjustments" } }, { "rule_id": "STD-007", "title": "Designation of Information Sharing Officers", "rule_type": "obligation", "summary": "All regulatory authorities must designate information sharing officers responsible for inter-agency communication.", "core_obligation": { "actor": "All regulatory authorities", "action": "designate information sharing officers", "modality": "shall", "object": "information sharing officers", "conditions": [ "responsible for inter-agency communication" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Information Sharing", "source_ref": { "page": 43, "clause": "Section 61.2(a)(i)", "text_snippet": "Designate information sharing officers responsible for inter-agency communication" } }, { "rule_id": "STD-008", "title": "Provision of Timeline and Cost Estimate", "rule_type": "obligation", "summary": "The CAB must provide an estimated timeline and cost for the assessment upon receiving an application.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "provide estimated timeline and cost", "modality": "shall", "object": "timeline and cost estimate", "conditions": [ "for the assessment", "upon application" ] }, "applicability": "All CABs receiving applications", "severity": "medium", "category": "Application Process", "source_ref": { "page": 22, "clause": "Section 31.3(a)(iii)", "text_snippet": "The CAB shall provide an estimated timeline and cost for the assessment" } }, { "rule_id": "STD-008", "title": "Product Identification Elements", "rule_type": "obligation", "summary": "Manufacturers shall ensure that their products bear a type, batch, or serial number or other element allowing their identification.", "core_obligation": { "actor": "Manufacturer", "action": "ensure products bear identification elements", "modality": "shall", "object": "products", "conditions": [ "type, batch, serial number or other identification element must be present" ] }, "applicability": "All manufacturers placing products on the market.", "severity": "high", "category": "Traceability", "source_ref": { "page": 34, "clause": "Section 48.3(a)", "text_snippet": "Ensure that their products bear a type, batch, or serial number or other element allowing their identification" } }, { "rule_id": "STD-008", "title": "Clear Terms and Conditions", "rule_type": "obligation", "summary": "Service providers must provide terms and conditions of service in clear and understandable language.", "core_obligation": { "actor": "Service providers", "action": "provide terms and conditions", "modality": "shall", "object": "terms and conditions of service", "conditions": [ "in clear and understandable language" ] }, "applicability": "All service providers", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.2(c)", "text_snippet": "Provide terms and conditions of service in clear and understandable language" } }, { "rule_id": "STD-008", "title": "Risk Management Procedures", "rule_type": "obligation", "summary": "Regulated entities must establish procedures for risk identification, assessment, mitigation, monitoring, and reporting.", "core_obligation": { "actor": "Regulated entities", "action": "establish procedures", "modality": "shall", "object": "procedures for risk identification, assessment, mitigation, monitoring, and reporting", "conditions": [] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(d)", "text_snippet": "(d) Procedures for risk identification, assessment, mitigation, monitoring, and reporting" } }, { "rule_id": "STD-008", "title": "Public Registry of Impact Assessments", "rule_type": "obligation", "summary": "The Competent Authority must establish and maintain a public registry of all regulatory impact assessments and post-implementation reviews.", "core_obligation": { "actor": "Competent Authority", "action": "establish", "modality": "shall", "object": "public registry of all regulatory impact assessments and post-implementation reviews", "conditions": [] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Regulatory Development", "source_ref": { "page": 41, "clause": "60.1(h)", "text_snippet": "Establish a public registry of all regulatory impact assessments and post-implementation reviews" } }, { "rule_id": "STD-008", "title": "Participation in Information Sharing Platform", "rule_type": "obligation", "summary": "All regulatory authorities must participate in a secure, centralised information sharing platform established by the RCC.", "core_obligation": { "actor": "All regulatory authorities", "action": "participate in information sharing platform", "modality": "shall", "object": "secure, centralised information sharing platform", "conditions": [ "established by the RCC" ] }, "applicability": "All regulatory authorities", "severity": "high", "category": "Information Sharing", "source_ref": { "page": 43, "clause": "Section 61.2(a)(ii)", "text_snippet": "Participate in a secure, centralised information sharing platform established by the RCC" } }, { "rule_id": "STD-009", "title": "Review of Application Completeness and Scope", "rule_type": "obligation", "summary": "The CAB must review the application to ensure it is complete and within its scope of designation.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "review application for completeness and scope", "modality": "shall", "object": "application", "conditions": [ "to ensure it is complete", "within its scope of designation" ] }, "applicability": "All CABs receiving applications", "severity": "high", "category": "Application Process", "source_ref": { "page": 22, "clause": "Section 31.3(b)(i)", "text_snippet": "The CAB shall review the application to ensure it is complete and within its scope of designation" } }, { "rule_id": "STD-009", "title": "Manufacturer Contact Information Display", "rule_type": "obligation", "summary": "Manufacturers shall indicate their name, registered trade name or registered trade mark, and postal address on the product or its packaging or accompanying documentation.", "core_obligation": { "actor": "Manufacturer", "action": "indicate contact information", "modality": "shall", "object": "name, trade name/mark, and postal address", "conditions": [ "on product, or if not possible, on packaging or accompanying document" ] }, "applicability": "All manufacturers placing products on the market.", "severity": "high", "category": "Traceability", "source_ref": { "page": 34, "clause": "Section 48.3(b)", "text_snippet": "Indicate their name, registered trade name or registered trade mark, and the postal address at which they can be contacted on the product or, where that is not possible, on its packaging or in a document accompanying the product" } }, { "rule_id": "STD-009", "title": "Communication of Service Limitations", "rule_type": "obligation", "summary": "Service providers must clearly communicate any limitations or exclusions of the service.", "core_obligation": { "actor": "Service providers", "action": "communicate limitations or exclusions", "modality": "shall", "object": "service limitations or exclusions", "conditions": [ "clearly" ] }, "applicability": "All service providers", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.2(d)", "text_snippet": "Clearly communicate any limitations or exclusions of the service" } }, { "rule_id": "STD-009", "title": "Risk Management Integration in Decision-Making", "rule_type": "obligation", "summary": "Regulated entities must integrate risk management considerations into decision-making processes across the organization.", "core_obligation": { "actor": "Regulated entities", "action": "integrate", "modality": "shall", "object": "risk management considerations into decision-making processes", "conditions": [ "across the organisation" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(e)", "text_snippet": "(e) Integration of risk management considerations into decision-making processes across the organisation" } }, { "rule_id": "STD-009", "title": "Establishment of Licensing Criteria and Procedures", "rule_type": "obligation", "summary": "The Competent Authority must establish clear criteria and procedures for granting, renewing, modifying, and revoking licenses or authorisations.", "core_obligation": { "actor": "Competent Authority", "action": "establish", "modality": "shall", "object": "clear criteria and procedures", "conditions": [ "for granting, renewing, modifying, and revoking licenses or authorisations for regulated activities" ] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Licensing and Authorisation", "source_ref": { "page": 41, "clause": "60.2(a)", "text_snippet": "Establish clear criteria and procedures for granting, renewing, modifying, and revoking licenses or authorisations for regulated activities" } }, { "rule_id": "STD-009", "title": "Development of Information Classification Procedures", "rule_type": "obligation", "summary": "All regulatory authorities must develop internal procedures for classifying and sharing information with other authorities.", "core_obligation": { "actor": "All regulatory authorities", "action": "develop internal procedures", "modality": "shall", "object": "internal procedures for classifying and sharing information", "conditions": [ "for classifying and sharing information with other authorities" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Information Sharing", "source_ref": { "page": 43, "clause": "Section 61.2(a)(iii)", "text_snippet": "Develop internal procedures for classifying and sharing information with other authorities" } }, { "rule_id": "STD-010", "title": "Request for Additional Information", "rule_type": "power", "summary": "The CAB may request additional information if necessary during application review.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "request additional information", "modality": "may", "object": "additional information", "conditions": [ "if necessary" ] }, "applicability": "All CABs reviewing applications", "severity": "low", "category": "Application Process", "source_ref": { "page": 22, "clause": "Section 31.3(b)(ii)", "text_snippet": "The CAB may request additional information if necessary" } }, { "rule_id": "STD-010", "title": "Instructions and Safety Information Provision", "rule_type": "obligation", "summary": "Manufacturers shall ensure that the product is accompanied by instructions and safety information in a language easily understood by consumers and end-users.", "core_obligation": { "actor": "Manufacturer", "action": "provide instructions and safety information", "modality": "shall", "object": "instructions and safety information", "conditions": [ "in a language easily understood by consumers and end-users" ] }, "applicability": "All manufacturers placing products on the market for consumers and end-users.", "severity": "high", "category": "Consumer Safety", "source_ref": { "page": 34, "clause": "Section 48.4(a)", "text_snippet": "Ensure that the product is accompanied by instructions and safety information in a language easily understood by consumers and end-users" } }, { "rule_id": "STD-010", "title": "Accessible Information Channels", "rule_type": "obligation", "summary": "Service providers must provide easily accessible channels for customers to request additional information or clarification.", "core_obligation": { "actor": "Service providers", "action": "provide accessible information channels", "modality": "shall", "object": "channels for customer information requests", "conditions": [ "easily accessible" ] }, "applicability": "All service providers", "severity": "low", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.2(e)", "text_snippet": "Provide easily accessible channels for customers to request additional information or clarification" } }, { "rule_id": "STD-010", "title": "Risk Management Training Requirement", "rule_type": "obligation", "summary": "Regulated entities must provide regular training for employees on risk management principles and procedures.", "core_obligation": { "actor": "Regulated entities", "action": "provide training", "modality": "shall", "object": "employees on risk management principles and procedures", "conditions": [ "regular training" ] }, "applicability": "All regulated entities", "severity": "medium", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(f)", "text_snippet": "(f) Regular training for employees on risk management principles and procedures" } }, { "rule_id": "STD-010", "title": "Timely Processing of License Applications", "rule_type": "obligation", "summary": "The Competent Authority must process license or authorisation applications within a specified timeframe from receipt of complete application.", "core_obligation": { "actor": "Competent Authority", "action": "process applications", "modality": "shall", "object": "applications for licenses or authorisations", "conditions": [ "within [X] days of receipt of a complete application" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Licensing and Authorisation", "source_ref": [ { "page": 41, "clause": "60.2(b)", "text_snippet": "Process applications for licenses or authorisations within [X] days of receipt of a complete application", "_origin_rule_id": "STD-010" }, { "page": 80, "clause": "Section 81.4(a)", "text_snippet": "Applications for licenses or authorisations pending on the effective date shall: (i) Be transferred to the Competent Authority for processing; (ii) Be evaluated under the criteria of this Act; (iii) Require additional information from applicants if necessary...", "_origin_rule_id": "STD-2024-081.4a" } ], "_merge_count": 2 }, { "rule_id": "STD-010", "title": "Response Timeframe for Information Requests", "rule_type": "obligation", "summary": "Authorities must respond to information requests from other authorities within 15 working days, unless a valid legal exemption applies.", "core_obligation": { "actor": "Authorities", "action": "respond to information requests", "modality": "shall", "object": "information requests from other authorities", "conditions": [ "within 15 working days", "unless a valid legal exemption applies" ] }, "applicability": "All regulatory authorities", "severity": "high", "category": "Information Sharing", "source_ref": [ { "page": 43, "clause": "Section 61.2(c)", "text_snippet": "Authorities shall respond to information requests from other authorities within 15 working days, unless a valid legal exemption applies", "_origin_rule_id": "STD-010" }, { "page": 43, "clause": "Section 61.2(c)", "text_snippet": "Authorities shall respond to information requests from other authorities within 15 working days, unless a valid legal exemption applies", "_origin_rule_id": "STD-2024-061" }, { "page": 45, "clause": "62.1(b)(i)", "text_snippet": "Responding to requests for information within 20 working days", "_origin_rule_id": "STD-2024-062.1-002" } ], "_merge_count": 3 }, { "rule_id": "STD-011", "title": "Disclosure of Conflicts of Interest", "rule_type": "obligation", "summary": "The CAB must inform the applicant of any potential conflicts of interest.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "inform applicant of conflicts of interest", "modality": "shall", "object": "potential conflicts of interest", "conditions": [ "to the applicant" ] }, "applicability": "All CABs with potential conflicts of interest", "severity": "critical", "category": "Independence and Impartiality", "source_ref": { "page": 22, "clause": "Section 31.3(b)(iii)", "text_snippet": "The CAB shall inform the applicant of any potential conflict of interests" } }, { "rule_id": "STD-011", "title": "Instructions and Safety Information Updates", "rule_type": "obligation", "summary": "Manufacturers shall keep instructions and safety information up to date.", "core_obligation": { "actor": "Manufacturer", "action": "keep instructions and safety information up to date", "modality": "shall", "object": "instructions and safety information", "conditions": [ "ongoing maintenance requirement" ] }, "applicability": "All manufacturers with products on the market.", "severity": "medium", "category": "Consumer Safety", "source_ref": { "page": 34, "clause": "Section 48.4(b)", "text_snippet": "Keep these instructions and safety information up to date" } }, { "rule_id": "STD-011", "title": "Website Information Maintenance", "rule_type": "obligation", "summary": "Service providers must maintain an up-to-date website with comprehensive information about services, pricing, and policies.", "core_obligation": { "actor": "Service providers", "action": "maintain up-to-date website", "modality": "shall", "object": "website with comprehensive information", "conditions": [ "up-to-date", "comprehensive information about services, pricing, and policies" ] }, "applicability": "All service providers", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.2(f)", "text_snippet": "Maintain an up-to-date website with comprehensive information about services, pricing, and policies" } }, { "rule_id": "STD-011", "title": "Continuous Improvement of Risk Management Framework", "rule_type": "obligation", "summary": "Regulated entities must establish mechanisms for continuous improvement of the risk management framework based on lessons learned and emerging best practices.", "core_obligation": { "actor": "Regulated entities", "action": "establish mechanisms", "modality": "shall", "object": "mechanisms for continuous improvement of risk management framework", "conditions": [ "based on lessons learned and emerging best practices" ] }, "applicability": "All regulated entities", "severity": "medium", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.2(g)", "text_snippet": "(g) Mechanisms for continuous improvement of the risk management framework based on lessons learned and emerging best practices" } }, { "rule_id": "STD-011", "title": "Public Register of Licensed Entities", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of all licensed or authorised entities with specified information including name, contact details, license type, dates, and conditions.", "core_obligation": { "actor": "Competent Authority", "action": "maintain", "modality": "shall", "object": "public register of all licensed or authorised entities", "conditions": [ "including name and contact details", "type of license or authorisation held", "date of issuance and expiration", "any conditions or restrictions attached" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Licensing and Authorisation", "source_ref": { "page": 41, "clause": "60.2(c)", "text_snippet": "Maintain a public register of all licensed or authorised entities, including: (i) Name and contact details of the entity; (ii) Type of license or authorisation held; (iii) Date of issuance and expiration; and (iv) Any conditions or restrictions attached to the license or authorisation" } }, { "rule_id": "STD-011", "title": "Data Protection for Shared Information", "rule_type": "obligation", "summary": "Authorities must implement data protection measures to ensure the confidentiality and security of shared information.", "core_obligation": { "actor": "Authorities", "action": "implement data protection measures", "modality": "shall", "object": "data protection measures", "conditions": [ "to ensure confidentiality and security of shared information" ] }, "applicability": "All regulatory authorities", "severity": "high", "category": "Data Protection", "source_ref": [ { "page": 43, "clause": "Section 61.2(d)", "text_snippet": "Implement data protection measures to ensure the confidentiality and security of shared information.", "_origin_rule_id": "STD-011" }, { "page": 43, "clause": "Section 61.2(d)", "text_snippet": "Implement data protection measures to ensure the confidentiality and security of shared information", "_origin_rule_id": "STD-2024-062" } ], "_merge_count": 2 }, { "rule_id": "STD-012", "title": "Conduct Assessment According to Relevant Procedure", "rule_type": "obligation", "summary": "The CAB must conduct the assessment according to the relevant procedure.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "conduct assessment", "modality": "shall", "object": "conformity assessment", "conditions": [ "according to the relevant procedure" ] }, "applicability": "All CABs conducting assessments", "severity": "high", "category": "Assessment Process", "source_ref": { "page": 22, "clause": "Section 31.3(c)(i)", "text_snippet": "The CAB shall conduct the assessment according to the relevant procedure" } }, { "rule_id": "STD-012", "title": "Complaints Handling System", "rule_type": "obligation", "summary": "Service providers must establish and maintain an effective system for handling customer complaints.", "core_obligation": { "actor": "Service providers", "action": "establish and maintain complaints handling system", "modality": "shall", "object": "system for handling customer complaints", "conditions": [ "effective" ] }, "applicability": "All service providers", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.3(a)", "text_snippet": "Establish and maintain an effective system for handling customer complaints" } }, { "rule_id": "STD-012", "title": "Risk Mitigation Measure Development", "rule_type": "obligation", "summary": "For each identified significant risk, regulated entities must develop and implement appropriate risk mitigation measures.", "core_obligation": { "actor": "Regulated entities", "action": "develop and implement", "modality": "shall", "object": "appropriate risk mitigation measures", "conditions": [ "for each identified significant risk" ] }, "applicability": "All regulated entities with identified significant risks", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.3(a)", "text_snippet": "For each identified significant risk, regulated entities shall: (a) Develop and implement appropriate risk mitigation measures" } }, { "rule_id": "STD-012", "title": "Fit and Proper Person Assessments", "rule_type": "obligation", "summary": "The Competent Authority must conduct fit and proper person assessments for key personnel of regulated entities.", "core_obligation": { "actor": "Competent Authority", "action": "conduct", "modality": "shall", "object": "fit and proper person assessments", "conditions": [ "for key personnel of regulated entities" ] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Licensing and Authorisation", "source_ref": { "page": 41, "clause": "60.2(d)", "text_snippet": "Conduct fit and proper person assessments for key personnel of regulated entities" } }, { "rule_id": "STD-012", "title": "Establishment of Harmonisation Working Groups", "rule_type": "obligation", "summary": "The RCC must establish working groups to develop common risk assessment methodologies, standardised enforcement guidelines, and unified data reporting formats.", "core_obligation": { "actor": "RCC", "action": "establish working groups to develop harmonised approaches", "modality": "shall", "object": "working groups for common risk assessment methodologies, standardised enforcement guidelines, and unified data reporting formats", "conditions": [] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Harmonisation", "source_ref": { "page": 43, "clause": "Section 61.3(a)", "text_snippet": "The RCC shall establish working groups to develop: (i) Common risk assessment methodologies; (ii) Standardised enforcement guidelines; and (iii) Unified data reporting formats for regulated entities" } }, { "rule_id": "STD-013", "title": "Assessment Methods", "rule_type": "obligation", "summary": "The assessment may include document review, on-site assessment, testing, or inspection as appropriate.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "conduct assessment using appropriate methods", "modality": "may", "object": "document review, on-site assessment, testing, or inspection", "conditions": [ "as appropriate" ] }, "applicability": "All CABs conducting assessments", "severity": "medium", "category": "Assessment Process", "source_ref": [ { "page": 22, "clause": "Section 31.3(c)(ii)", "text_snippet": "The assessment may include document review, on-site assessment, testing, or inspection as appropriate", "_origin_rule_id": "STD-013" }, { "page": 19, "clause": "Section 29.5(b)", "text_snippet": "The assessment may include: (i) Document review; (ii) On-site assessment; (iii) Witness audits; (iv) Proficiency testing; and (v) Virtual assessment...", "_origin_rule_id": "STD-2024-029.5-B" } ], "_merge_count": 2 }, { "rule_id": "STD-013", "title": "Timely and Fair Complaint Response", "rule_type": "obligation", "summary": "Service providers must respond to complaints in a timely and fair manner.", "core_obligation": { "actor": "Service providers", "action": "respond to complaints", "modality": "shall", "object": "customer complaints", "conditions": [ "timely", "fair manner" ] }, "applicability": "All service providers", "severity": "high", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.3(b)", "text_snippet": "Respond to complaints in a timely and fair manner" } }, { "rule_id": "STD-013", "title": "Risk Mitigation Plan Documentation", "rule_type": "obligation", "summary": "Regulated entities must document risk mitigation measures in a comprehensive plan including risk description, mitigation actions, timelines, responsibilities, resources, and KPIs.", "core_obligation": { "actor": "Regulated entities", "action": "document", "modality": "shall", "object": "risk mitigation measures in a risk mitigation plan", "conditions": [ "including description of risk and impact", "specific mitigation actions", "timelines for implementation", "responsible individuals or departments", "resources required", "key performance indicators" ] }, "applicability": "All regulated entities implementing risk mitigation measures", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.3(b)", "text_snippet": "(b) Document these measures in a risk mitigation plan that includes: (i) Description of the risk and its potential impact..." } }, { "rule_id": "STD-013", "title": "Regular Review of Licensing Framework", "rule_type": "obligation", "summary": "The Competent Authority must regularly review the licensing and authorisation framework to ensure it remains fit for purpose.", "core_obligation": { "actor": "Competent Authority", "action": "regularly review", "modality": "shall", "object": "licensing and authorisation framework", "conditions": [ "to ensure it remains fit for purpose" ] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Licensing and Authorisation", "source_ref": { "page": 41, "clause": "60.2(e)", "text_snippet": "Regularly review the licensing and authorisation framework to ensure it remains fit for purpose" } }, { "rule_id": "STD-013", "title": "Adoption of Harmonised Approaches", "rule_type": "obligation", "summary": "Each authority must adopt the harmonised approaches developed by the RCC, unless there are compelling reasons not to do so.", "core_obligation": { "actor": "Each authority", "action": "adopt harmonised approaches", "modality": "shall", "object": "harmonised approaches developed by the RCC", "conditions": [ "unless there are compelling reasons not to do so" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Harmonisation", "source_ref": [ { "page": 43, "clause": "Section 61.3(b)(i)", "text_snippet": "Adopt the harmonised approaches developed by the RCC, unless there are compelling reasons not to do so", "_origin_rule_id": "STD-013" }, { "page": 43, "clause": "Section 61.3(b)(i)", "text_snippet": "Adopt the harmonised approaches developed by the RCC, unless there are compelling reasons not to do so", "_origin_rule_id": "STD-2024-064" } ], "_merge_count": 2 }, { "rule_id": "STD-014", "title": "Risk-Based Assessment Approach", "rule_type": "obligation", "summary": "The CAB must use a risk-based approach in determining the depth and frequency of assessments.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "use risk-based approach", "modality": "shall", "object": "assessment depth and frequency", "conditions": [ "in determining the depth and frequency of assessments" ] }, "applicability": "All CABs conducting assessments", "severity": "high", "category": "Assessment Process", "source_ref": { "page": 22, "clause": "Section 31.3(c)(iii)", "text_snippet": "The CAB shall use a risk-based approach in determining the depth and frequency of assessments" } }, { "rule_id": "STD-014", "title": "Complaints Record Retention", "rule_type": "obligation", "summary": "Service providers must keep records of complaints and actions taken to resolve them for a specified period.", "core_obligation": { "actor": "Service providers", "action": "keep records of complaints and resolution actions", "modality": "shall", "object": "complaint records", "conditions": [ "for [X] years" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.3(c)", "text_snippet": "Keep records of complaints and actions taken to resolve them for [X] years" } }, { "rule_id": "STD-014", "title": "Risk Mitigation Measure Review and Update", "rule_type": "obligation", "summary": "Regulated entities must regularly review and update risk mitigation measures to ensure their continued effectiveness.", "core_obligation": { "actor": "Regulated entities", "action": "review and update", "modality": "shall", "object": "risk mitigation measures", "conditions": [ "regularly", "to ensure continued effectiveness" ] }, "applicability": "All regulated entities with risk mitigation measures", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.3(c)", "text_snippet": "(c) Regularly review and update risk mitigation measures to ensure their continued effectiveness" } }, { "rule_id": "STD-014", "title": "Digital Licensing System Implementation", "rule_type": "obligation", "summary": "The Competent Authority must implement a digital licensing and authorisation system to streamline applications and improve transparency.", "core_obligation": { "actor": "Competent Authority", "action": "implement", "modality": "shall", "object": "digital licensing and authorisation system", "conditions": [ "to streamline application processes", "improve transparency" ] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Licensing and Authorisation", "source_ref": { "page": 41, "clause": "60.2(f)", "text_snippet": "Implement a digital licensing and authorisation system to streamline application processes and improve transparency" } }, { "rule_id": "STD-014", "title": "Public Disclosure of Deviations from Harmonised Approaches", "rule_type": "obligation", "summary": "Each authority must publicly disclose and justify any deviations from the harmonised approaches.", "core_obligation": { "actor": "Each authority", "action": "publicly disclose and justify deviations", "modality": "shall", "object": "deviations from harmonised approaches", "conditions": [] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Transparency", "source_ref": [ { "page": 43, "clause": "Section 61.3(b)(ii)", "text_snippet": "Publicly disclose and justify any deviations from the harmonised approaches", "_origin_rule_id": "STD-014" }, { "page": 43, "clause": "Section 61.3(b)(ii)", "text_snippet": "Publicly disclose and justify any deviations from the harmonised approaches", "_origin_rule_id": "STD-2024-065" } ], "_merge_count": 2 }, { "rule_id": "STD-015", "title": "Evaluation Against Relevant Requirements", "rule_type": "obligation", "summary": "The CAB must evaluate the results of the assessment against the relevant requirements.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "evaluate assessment results", "modality": "shall", "object": "assessment results", "conditions": [ "against the relevant requirements" ] }, "applicability": "All CABs conducting evaluations", "severity": "high", "category": "Evaluation Process", "source_ref": { "page": 22, "clause": "Section 31.3(d)(i)", "text_snippet": "The CAB shall evaluate the results of the assessment against the relevant requirements" } }, { "rule_id": "STD-015", "title": "Complaint Data Analysis and Prevention", "rule_type": "obligation", "summary": "Service providers must analyse complaint data to identify trends and implement preventive measures.", "core_obligation": { "actor": "Service providers", "action": "analyse complaint data and implement preventive measures", "modality": "shall", "object": "complaint data", "conditions": [ "identify trends", "implement preventive measures" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.3(d)", "text_snippet": "Analyse complaint data to identify trends and implement preventive measures" } }, { "rule_id": "STD-015", "title": "Risk Mitigation Audit Trail", "rule_type": "obligation", "summary": "Regulated entities must maintain an audit trail of changes made to risk mitigation measures.", "core_obligation": { "actor": "Regulated entities", "action": "maintain", "modality": "shall", "object": "audit trail of changes to risk mitigation measures", "conditions": [] }, "applicability": "All regulated entities with risk mitigation measures", "severity": "medium", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.3(d)", "text_snippet": "(d) Maintain an audit trail of changes made to risk mitigation measures" } }, { "rule_id": "STD-015", "title": "Risk-Based Supervision Framework", "rule_type": "obligation", "summary": "The Competent Authority must develop and implement a risk-based supervision framework, allocating resources based on entity risk profiles.", "core_obligation": { "actor": "Competent Authority", "action": "develop and implement", "modality": "shall", "object": "risk-based supervision framework", "conditions": [ "allocating supervisory resources based on the risk profile of regulated entities" ] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(a)", "text_snippet": "Develop and implement a risk-based supervision framework, allocating supervisory resources based on the risk profile of regulated entities", "_origin_rule_id": "STD-015" }, { "page": 41, "clause": "Section 60.3(a)", "text_snippet": "Develop and implement a risk-based supervision framework, allocating supervisory resources based on the risk profile of regulated entities", "_origin_rule_id": "STD-2024-060.3a" } ], "_merge_count": 2 }, { "rule_id": "STD-015", "title": "Annual Review of Regulatory Divergences", "rule_type": "obligation", "summary": "The RCC must conduct an annual review of regulatory divergences and develop action plans to address them.", "core_obligation": { "actor": "RCC", "action": "conduct annual review and develop action plans", "modality": "shall", "object": "annual review of regulatory divergences and action plans", "conditions": [ "annually" ] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Harmonisation", "source_ref": [ { "page": 43, "clause": "Section 61.3(c)", "text_snippet": "The RCC shall conduct an annual review of regulatory divergences and develop action plans to address them", "_origin_rule_id": "STD-015" }, { "page": 43, "clause": "Section 61.3(c)", "text_snippet": "The RCC shall conduct an annual review of regulatory divergences and develop action plans to address them", "_origin_rule_id": "STD-2024-066" } ], "_merge_count": 2 }, { "rule_id": "STD-016", "title": "Independence of Evaluation Personnel", "rule_type": "obligation", "summary": "The evaluation must be conducted by personnel not involved in the assessment.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "conduct evaluation by independent personnel", "modality": "shall", "object": "evaluation", "conditions": [ "by personnel not involved in the assessment" ] }, "applicability": "All CABs conducting evaluations", "severity": "critical", "category": "Independence and Impartiality", "source_ref": { "page": 22, "clause": "Section 31.3(d)(ii)", "text_snippet": "The evaluation shall be conducted by personnel not involved in the assessment" } }, { "rule_id": "STD-016", "title": "Multiple Complaint Submission Channels", "rule_type": "obligation", "summary": "Service providers must provide multiple channels for customers to submit complaints (e.g., phone, email, online form).", "core_obligation": { "actor": "Service providers", "action": "provide multiple complaint submission channels", "modality": "shall", "object": "channels for complaint submission", "conditions": [ "multiple channels", "e.g., phone, email, online form" ] }, "applicability": "All service providers", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.3(e)", "text_snippet": "Provide multiple channels for customers to submit complaints (e.g., phone, email, online form)" } }, { "rule_id": "STD-016", "title": "Key Risk Indicators Establishment", "rule_type": "obligation", "summary": "Regulated entities must establish key risk indicators (KRIs) for each significant risk.", "core_obligation": { "actor": "Regulated entities", "action": "establish", "modality": "shall", "object": "key risk indicators (KRIs)", "conditions": [ "for each significant risk" ] }, "applicability": "All regulated entities with identified significant risks", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.4(a)", "text_snippet": "(a) Establish key risk indicators (KRIs) for each significant risk" } }, { "rule_id": "STD-016", "title": "Regular On-Site Inspections", "rule_type": "obligation", "summary": "The Competent Authority must conduct regular on-site inspections of regulated entities with frequency based on risk assessment but at minimum intervals.", "core_obligation": { "actor": "Competent Authority", "action": "conduct", "modality": "shall", "object": "regular on-site inspections of regulated entities", "conditions": [ "with frequency determined by risk assessment", "but no less than once every [X] years" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(b)", "text_snippet": "Conduct regular on-site inspections of regulated entities, with frequency determined by risk assessment but no less than once every [X] years", "_origin_rule_id": "STD-016" }, { "page": 41, "clause": "Section 60.3(b)", "text_snippet": "Conduct regular on-site inspections of regulated entities, with frequency determined by risk assessment but no less than once every [X] years", "_origin_rule_id": "STD-2024-060.3b" } ], "_merge_count": 2 }, { "rule_id": "STD-016", "title": "Joint Training Programs Collaboration", "rule_type": "obligation", "summary": "Authorities must collaborate on joint training programs to ensure consistent application of harmonised approaches.", "core_obligation": { "actor": "Authorities", "action": "collaborate on joint training programs", "modality": "shall", "object": "joint training programs", "conditions": [ "to ensure consistent application of harmonised approaches" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Capacity Building", "source_ref": [ { "page": 43, "clause": "Section 61.3(d)", "text_snippet": "Authorities shall collaborate on joint training programs to ensure consistent application of harmonised approaches.", "_origin_rule_id": "STD-016" }, { "page": 43, "clause": "Section 61.3(d)", "text_snippet": "Authorities shall collaborate on joint training programs to ensure consistent application of harmonised approaches", "_origin_rule_id": "STD-2024-067" } ], "_merge_count": 2 }, { "rule_id": "STD-017", "title": "Documentation of Evaluation Process", "rule_type": "obligation", "summary": "The CAB must document the evaluation process and results.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "document evaluation", "modality": "shall", "object": "evaluation process and results", "conditions": [] }, "applicability": "All CABs conducting evaluations", "severity": "high", "category": "Documentation", "source_ref": { "page": 22, "clause": "Section 31.3(d)(iii)", "text_snippet": "The CAB shall document the evaluation process and results" } }, { "rule_id": "STD-017", "title": "Complaint Resolution Timelines", "rule_type": "obligation", "summary": "Service providers must establish and communicate clear timelines for complaint resolution.", "core_obligation": { "actor": "Service providers", "action": "establish and communicate complaint resolution timelines", "modality": "shall", "object": "timelines for complaint resolution", "conditions": [ "clear" ] }, "applicability": "All service providers", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.3(f)", "text_snippet": "Establish and communicate clear timelines for complaint resolution" } }, { "rule_id": "STD-017", "title": "Ongoing KRI Monitoring Systems", "rule_type": "obligation", "summary": "Regulated entities must implement systems to monitor key risk indicators on an ongoing basis.", "core_obligation": { "actor": "Regulated entities", "action": "implement systems", "modality": "shall", "object": "systems to monitor KRIs", "conditions": [ "on an ongoing basis" ] }, "applicability": "All regulated entities with established KRIs", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.4(b)", "text_snippet": "(b) Implement systems to monitor KRIs on an ongoing basis" } }, { "rule_id": "STD-017", "title": "Ongoing Off-Site Monitoring", "rule_type": "obligation", "summary": "The Competent Authority must perform ongoing off-site monitoring including review of reports, financial statements, complaints, and public information.", "core_obligation": { "actor": "Competent Authority", "action": "perform", "modality": "shall", "object": "ongoing off-site monitoring", "conditions": [ "including review of regular reports submitted by regulated entities", "financial statements and auditor reports", "customer complaints and dispute resolution outcomes", "media reports and other public information" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(c)", "text_snippet": "Perform ongoing off-site monitoring, including review of: (i) Regular reports submitted by regulated entities; (ii) Financial statements and auditor reports; (iii) Customer complaints and dispute resolution outcomes; and (iv) Media reports and other public information", "_origin_rule_id": "STD-017" }, { "page": 41, "clause": "Section 60.3(c)", "text_snippet": "Perform ongoing off-site monitoring, including review of: (i) Regular reports submitted by regulated entities; (ii) Financial statements and auditor reports; (iii) Customer complaints...", "_origin_rule_id": "STD-2024-060.3c" } ], "_merge_count": 2 }, { "rule_id": "STD-017", "title": "Conduct Joint Inspections", "rule_type": "obligation", "summary": "Authorities must conduct joint inspections of entities subject to multiple regulatory regimes.", "core_obligation": { "actor": "Authorities", "action": "conduct joint inspections", "modality": "shall", "object": "joint inspections", "conditions": [ "of entities subject to multiple regulatory regimes" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Supervision", "source_ref": { "page": 43, "clause": "Section 61.4(a)(i)", "text_snippet": "Conduct joint inspections of entities subject to multiple regulatory regimes" } }, { "rule_id": "STD-018", "title": "Decision Based on Evaluation Results", "rule_type": "obligation", "summary": "The CAB must make a decision based on the evaluation results.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "make decision", "modality": "shall", "object": "conformity decision", "conditions": [ "based on the evaluation results" ] }, "applicability": "All CABs making conformity decisions", "severity": "high", "category": "Decision Process", "source_ref": { "page": 22, "clause": "Section 31.3(e)(i)", "text_snippet": "The CAB shall make a decision based on the evaluation results" } }, { "rule_id": "STD-018", "title": "Complaint Escalation Process", "rule_type": "obligation", "summary": "Service providers must implement an escalation process for complex or unresolved complaints.", "core_obligation": { "actor": "Service providers", "action": "implement escalation process", "modality": "shall", "object": "escalation process for complaints", "conditions": [ "for complex or unresolved complaints" ] }, "applicability": "All service providers", "severity": "medium", "category": "Consumer Protection", "source_ref": { "page": 36, "clause": "Section 51.3(g)", "text_snippet": "Implement an escalation process for complex or unresolved complaints" } }, { "rule_id": "STD-018", "title": "Tiered Risk Review Requirements", "rule_type": "obligation", "summary": "Regulated entities must conduct regular risk reviews at three levels: monthly by operational management, quarterly by senior management, and annually by the board.", "core_obligation": { "actor": "Regulated entities", "action": "conduct risk reviews", "modality": "shall", "object": "regular risk reviews", "conditions": [ "monthly reviews by operational management", "quarterly reviews by senior management", "annual reviews by board of directors or equivalent governing body" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.4(c)", "text_snippet": "(c) Conduct regular risk reviews, including: (i) Monthly reviews by operational management; (ii) Quarterly reviews by senior management..." } }, { "rule_id": "STD-018", "title": "Annual Compliance Certificates Requirement", "rule_type": "obligation", "summary": "The Competent Authority must require regulated entities to submit annual compliance certificates signed by CEO and compliance officer.", "core_obligation": { "actor": "Competent Authority", "action": "require", "modality": "shall", "object": "regulated entities to submit annual compliance certificates", "conditions": [ "signed by the CEO and compliance officer" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(d)", "text_snippet": "Require regulated entities to submit annual compliance certificates signed by the CEO and compliance officer", "_origin_rule_id": "STD-018" }, { "page": 41, "clause": "Section 60.3(d)", "text_snippet": "Require regulated entities to submit annual compliance certificates signed by the CEO and compliance officer", "_origin_rule_id": "STD-2024-060.3d" } ], "_merge_count": 2 }, { "rule_id": "STD-018", "title": "Coordination of Supervisory Activities Timing", "rule_type": "obligation", "summary": "Authorities must coordinate the timing of routine supervisory activities to minimise burden on regulated entities.", "core_obligation": { "actor": "Authorities", "action": "coordinate timing of supervisory activities", "modality": "shall", "object": "timing of routine supervisory activities", "conditions": [ "to minimise burden on regulated entities" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Supervision", "source_ref": [ { "page": 43, "clause": "Section 61.4(a)(ii)", "text_snippet": "Coordinate the timing of routine supervisory activities to minimise burden on regulated entities", "_origin_rule_id": "STD-018" }, { "page": 43, "clause": "Section 61.4(a)(ii)", "text_snippet": "Coordinate the timing of routine supervisory activities to minimise burden on regulated entities", "_origin_rule_id": "STD-2024-069" } ], "_merge_count": 2 }, { "rule_id": "STD-019", "title": "Independence of Decision-Makers", "rule_type": "obligation", "summary": "The decision must be made by a person or persons not involved in the assessment or evaluation.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "ensure decision-maker independence", "modality": "shall", "object": "conformity decision", "conditions": [ "made by person(s) not involved in the assessment or evaluation" ] }, "applicability": "All CABs making conformity decisions", "severity": "critical", "category": "Independence and Impartiality", "source_ref": { "page": 22, "clause": "Section 31.3(e)(ii)", "text_snippet": "The decision shall be made by a person or persons not involved in the assessment or evaluation" } }, { "rule_id": "STD-019", "title": "Staff Training on Complaint Handling", "rule_type": "obligation", "summary": "Service providers must provide staff training on effective complaint handling and customer service.", "core_obligation": { "actor": "Service providers", "action": "provide staff training", "modality": "shall", "object": "staff training on complaint handling and customer service", "conditions": [ "effective complaint handling", "customer service" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.3(h)", "text_snippet": "Provide staff training on effective complaint handling and customer service" } }, { "rule_id": "STD-019", "title": "Risk Register Maintenance", "rule_type": "obligation", "summary": "Regulated entities must maintain a comprehensive risk register updated at least quarterly, including risk descriptions, owners, ratings, controls, and mitigation actions.", "core_obligation": { "actor": "Regulated entities", "action": "maintain", "modality": "shall", "object": "risk register", "conditions": [ "updated at least quarterly", "including description of each risk", "risk owner", "inherent risk rating", "existing controls", "residual risk rating", "mitigation actions and status" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.4(d)", "text_snippet": "(d) Maintain a risk register that is updated at least quarterly and includes: (i) Description of each identified risk..." } }, { "rule_id": "STD-019", "title": "Early Warning System Establishment", "rule_type": "obligation", "summary": "The Competent Authority must establish an early warning system to identify entities showing signs of distress or non-compliance.", "core_obligation": { "actor": "Competent Authority", "action": "establish", "modality": "shall", "object": "early warning system", "conditions": [ "to identify entities showing signs of distress or non-compliance" ] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(e)", "text_snippet": "Establish an early warning system to identify entities showing signs of distress or non-compliance", "_origin_rule_id": "STD-019" }, { "page": 41, "clause": "Section 60.3(e)", "text_snippet": "Establish an early warning system to identify entities showing signs of distress or non-compliance", "_origin_rule_id": "STD-2024-060.3e" } ], "_merge_count": 2 }, { "rule_id": "STD-019", "title": "Sharing of Inspection Reports", "rule_type": "obligation", "summary": "Authorities must share inspection reports with other relevant authorities within 30 days of completion.", "core_obligation": { "actor": "Authorities", "action": "share inspection reports", "modality": "shall", "object": "inspection reports", "conditions": [ "with other relevant authorities", "within 30 days of completion" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Information Sharing", "source_ref": [ { "page": 43, "clause": "Section 61.4(a)(iii)", "text_snippet": "Share inspection reports with other relevant authorities within 30 days of completion", "_origin_rule_id": "STD-019" }, { "page": 43, "clause": "Section 61.4(a)(iii)", "text_snippet": "Share inspection reports with other relevant authorities within 30 days of completion", "_origin_rule_id": "STD-2024-070" } ], "_merge_count": 2 }, { "rule_id": "STD-020", "title": "Detailed Report Supporting Decision", "rule_type": "obligation", "summary": "The CAB must provide a detailed report supporting its decision.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "provide detailed report", "modality": "shall", "object": "report supporting decision", "conditions": [] }, "applicability": "All CABs making conformity decisions", "severity": "high", "category": "Documentation", "source_ref": { "page": 22, "clause": "Section 31.3(e)(iii)", "text_snippet": "The CAB shall provide a detailed report supporting its decision" } }, { "rule_id": "STD-020", "title": "Service Level Agreements Establishment", "rule_type": "obligation", "summary": "Service providers must establish and communicate clear service level agreements (SLAs) to customers.", "core_obligation": { "actor": "Service providers", "action": "establish and communicate SLAs", "modality": "shall", "object": "service level agreements", "conditions": [ "clear", "to customers" ] }, "applicability": "All service providers", "severity": "high", "category": "Service Delivery", "source_ref": { "page": 36, "clause": "Section 51.4(a)", "text_snippet": "Establish and communicate clear service level agreements (SLAs) to customers" } }, { "rule_id": "STD-020", "title": "Immediate Reporting of Significant Risk Changes", "rule_type": "obligation", "summary": "Regulated entities must report significant changes in risk profile or emerging risks to senior management and the board immediately.", "core_obligation": { "actor": "Regulated entities", "action": "report", "modality": "shall", "object": "significant changes in risk profile or emerging risks", "conditions": [ "to senior management and the board", "immediately" ] }, "applicability": "All regulated entities experiencing significant risk changes", "severity": "critical", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.4(e)", "text_snippet": "(e) Report significant changes in risk profile or emerging risks to senior management and the board immediately" } }, { "rule_id": "STD-020", "title": "Thematic Reviews Across Sector", "rule_type": "obligation", "summary": "The Competent Authority must conduct thematic reviews across the sector on emerging risks or areas of concern.", "core_obligation": { "actor": "Competent Authority", "action": "conduct", "modality": "shall", "object": "thematic reviews across the sector", "conditions": [ "on emerging risks or areas of concern" ] }, "applicability": "The Competent Authority", "severity": "high", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(f)", "text_snippet": "Conduct thematic reviews across the sector on emerging risks or areas of concern", "_origin_rule_id": "STD-020" }, { "page": 41, "clause": "Section 60.3(f)", "text_snippet": "Conduct thematic reviews across the sector on emerging risks or areas of concern", "_origin_rule_id": "STD-2024-060.3f" } ], "_merge_count": 2 }, { "rule_id": "STD-020", "title": "Maintenance of Supervisory Activities Calendar", "rule_type": "obligation", "summary": "The RCC must maintain a calendar of planned supervisory activities across all authorities to facilitate coordination.", "core_obligation": { "actor": "RCC", "action": "maintain calendar of planned supervisory activities", "modality": "shall", "object": "calendar of planned supervisory activities", "conditions": [ "across all authorities", "to facilitate coordination" ] }, "applicability": "Regulatory Coordination Committee", "severity": "medium", "category": "Coordination", "source_ref": { "page": 43, "clause": "Section 61.4(b)", "text_snippet": "The RCC shall maintain a calendar of planned supervisory activities across all authorities to facilitate coordination" } }, { "rule_id": "STD-021", "title": "Issuance of Attestation for Positive Decision", "rule_type": "obligation", "summary": "If the decision is positive, the CAB must issue the appropriate attestation (e.g., certificate, mark of conformity).", "core_obligation": { "actor": "Conformity Assessment Body", "action": "issue attestation", "modality": "shall", "object": "attestation (certificate, mark of conformity)", "conditions": [ "if the decision is positive" ] }, "applicability": "All CABs with positive conformity decisions", "severity": "high", "category": "Attestation", "source_ref": { "page": 22, "clause": "Section 31.3(f)(i)", "text_snippet": "If the decision is positive, the CAB shall issue the appropriate attestation" } }, { "rule_id": "STD-021", "title": "SLA Compliance Monitoring", "rule_type": "obligation", "summary": "Service providers must implement systems to monitor and ensure compliance with SLAs.", "core_obligation": { "actor": "Service providers", "action": "implement monitoring systems for SLA compliance", "modality": "shall", "object": "systems to monitor SLA compliance", "conditions": [] }, "applicability": "All service providers", "severity": "high", "category": "Service Delivery", "source_ref": { "page": 36, "clause": "Section 51.4(b)", "text_snippet": "Implement systems to monitor and ensure compliance with SLAs" } }, { "rule_id": "STD-021", "title": "Annual Risk Management Reporting", "rule_type": "obligation", "summary": "Regulated entities must include a comprehensive risk management section in annual reports to stakeholders.", "core_obligation": { "actor": "Regulated entities", "action": "include", "modality": "shall", "object": "comprehensive risk management section", "conditions": [ "in annual reports to stakeholders" ] }, "applicability": "All regulated entities", "severity": "medium", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.4(f)", "text_snippet": "(f) Include a comprehensive risk management section in annual reports to stakeholders" } }, { "rule_id": "STD-021", "title": "Advanced Data Analytics Utilisation", "rule_type": "obligation", "summary": "The Competent Authority must utilise advanced data analytics tools to enhance supervision and monitoring activities.", "core_obligation": { "actor": "Competent Authority", "action": "utilise", "modality": "shall", "object": "advanced data analytics tools", "conditions": [ "to enhance supervision and monitoring activities" ] }, "applicability": "The Competent Authority", "severity": "medium", "category": "Supervision and Monitoring", "source_ref": [ { "page": 41, "clause": "60.3(g)", "text_snippet": "Utilise advanced data analytics tools to enhance supervision and monitoring activities", "_origin_rule_id": "STD-021" }, { "page": 41, "clause": "Section 60.3(g)", "text_snippet": "Utilise advanced data analytics tools to enhance supervision and monitoring activities", "_origin_rule_id": "STD-2024-060.3g" } ], "_merge_count": 2 }, { "rule_id": "STD-021", "title": "Designation of Lead Supervisor", "rule_type": "obligation", "summary": "For entities subject to multiple regulatory regimes, authorities must designate a lead supervisor to coordinate interactions and avoid duplication.", "core_obligation": { "actor": "Authorities", "action": "designate lead supervisor", "modality": "shall", "object": "lead supervisor", "conditions": [ "for entities subject to multiple regulatory regimes", "to coordinate interactions and avoid duplication" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Coordination", "source_ref": { "page": 43, "clause": "Section 61.4(c)", "text_snippet": "For entities subject to multiple regulatory regimes, authorities shall designate a lead supervisor to coordinate interactions and avoid duplication" } }, { "rule_id": "STD-022", "title": "Clear Statement of Scope in Attestation", "rule_type": "obligation", "summary": "The attestation must clearly state the scope of conformity assessed.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "state scope clearly", "modality": "shall", "object": "attestation", "conditions": [ "clearly state the scope of conformity assessed" ] }, "applicability": "All CABs issuing attestations", "severity": "high", "category": "Attestation", "source_ref": { "page": 22, "clause": "Section 31.3(f)(ii)", "text_snippet": "The attestation shall clearly state the scope of conformity assessed" } }, { "rule_id": "STD-022", "title": "Customer Satisfaction Assessment", "rule_type": "obligation", "summary": "Service providers must regularly assess customer satisfaction through surveys or other feedback mechanisms.", "core_obligation": { "actor": "Service providers", "action": "assess customer satisfaction", "modality": "shall", "object": "customer satisfaction", "conditions": [ "regularly", "through surveys or other feedback mechanisms" ] }, "applicability": "All service providers", "severity": "medium", "category": "Service Delivery", "source_ref": { "page": 36, "clause": "Section 51.4(c)", "text_snippet": "Regularly assess customer satisfaction through surveys or other feedback mechanisms" } }, { "rule_id": "STD-022", "title": "Independent Risk Management Function", "rule_type": "obligation", "summary": "Regulated entities must establish an independent risk management function reporting directly to the board or a board-level risk committee.", "core_obligation": { "actor": "Regulated entities", "action": "establish", "modality": "shall", "object": "independent risk management function", "conditions": [ "reporting directly to the board or a board-level risk committee" ] }, "applicability": "All regulated entities", "severity": "critical", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.5(a)", "text_snippet": "(a) Establish an independent risk management function, reporting directly to the board or a board-level risk committee" } }, { "rule_id": "STD-022", "title": "Investigation Powers for Violations", "rule_type": "power", "summary": "The Competent Authority has powers to investigate potential violations including requesting documents, interviewing individuals, conducting inspections, and seizing evidence.", "core_obligation": { "actor": "Competent Authority", "action": "investigate", "modality": "shall", "object": "potential violations of regulations", "conditions": [ "with powers to request and review documents and records", "interview employees and other relevant individuals", "conduct unannounced on-site inspections", "seize evidence where necessary and legally permitted" ] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Enforcement", "source_ref": [ { "page": 41, "clause": "60.4(a)", "text_snippet": "Investigate potential violations of regulations, with powers to: (i) Request and review documents and records; (ii) Interview employees and other relevant individuals; (iii) Conduct unannounced on-site inspections; and (iv) Seize evidence where necessary and legally permitted", "_origin_rule_id": "STD-022" }, { "page": 41, "clause": "Section 60.4(a)", "text_snippet": "Investigate potential violations of regulations, with powers to: (i) Request and review documents and records; (ii) Interview employees...", "_origin_rule_id": "STD-2024-060.4a" } ], "_merge_count": 2 }, { "rule_id": "STD-022", "title": "Establishment of Joint Investigation Protocols", "rule_type": "obligation", "summary": "Authorities must establish protocols for joint investigations and enforcement actions to ensure effective coordination.", "core_obligation": { "actor": "Authorities", "action": "establish protocols", "modality": "shall", "object": "protocols for joint investigations and enforcement actions", "conditions": [ "to ensure effective coordination" ] }, "applicability": "All regulatory authorities", "severity": "medium", "category": "Enforcement", "source_ref": [ { "page": 43, "clause": "Section 61.4(d)", "text_snippet": "Establish protocols for joint investigations and enforcement actions to ensure effective c", "_origin_rule_id": "STD-022" }, { "page": 43, "clause": "Section 61.4(d)", "text_snippet": "Establish protocols for joint investigations and enforcement actions to ensure effective collaboration", "_origin_rule_id": "STD-2024-073" } ], "_merge_count": 2 }, { "rule_id": "STD-023", "title": "Public Database of Valid Attestations", "rule_type": "obligation", "summary": "The CAB must maintain a public database of valid attestations.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "maintain public database", "modality": "shall", "object": "database of valid attestations", "conditions": [ "public" ] }, "applicability": "All CABs issuing attestations", "severity": "high", "category": "Transparency", "source_ref": { "page": 22, "clause": "Section 31.3(f)(iii)", "text_snippet": "The CAB shall maintain a public database of valid attestations" } }, { "rule_id": "STD-023", "title": "Continuous Improvement Process", "rule_type": "obligation", "summary": "Service providers must implement a continuous improvement process based on performance data and customer feedback.", "core_obligation": { "actor": "Service providers", "action": "implement continuous improvement process", "modality": "shall", "object": "continuous improvement process", "conditions": [ "based on performance data and customer feedback" ] }, "applicability": "All service providers", "severity": "medium", "category": "Service Delivery", "source_ref": { "page": 36, "clause": "Section 51.4(d)", "text_snippet": "Implement a continuous improvement process based on performance data and customer feedback" } }, { "rule_id": "STD-023", "title": "Annual Internal Risk Audits", "rule_type": "obligation", "summary": "Regulated entities must conduct internal audits of the risk management framework at least annually.", "core_obligation": { "actor": "Regulated entities", "action": "conduct internal audits", "modality": "shall", "object": "risk management framework", "conditions": [ "at least annually" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.5(b)", "text_snippet": "(b) Conduct internal audits of the risk management framework at least annually" } }, { "rule_id": "STD-023", "title": "Development and Publication of Enforcement Policy", "rule_type": "obligation", "summary": "The Competent Authority must develop and publish an enforcement policy outlining types of actions, selection criteria, and procedures for imposing and appealing enforcement actions.", "core_obligation": { "actor": "Competent Authority", "action": "develop and publish", "modality": "shall", "object": "enforcement policy", "conditions": [ "outlining types of enforcement actions available", "criteria for selecting appropriate enforcement actions", "procedures for imposing and appealing enforcement actions" ] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Enforcement", "source_ref": [ { "page": 41, "clause": "60.4(b)", "text_snippet": "Develop and publish an enforcement policy, outlining: (i) Types of enforcement actions available; (ii) Criteria for selecting appropriate enforcement actions; and (iii) Procedures for imposing and appealing enforcement actions", "_origin_rule_id": "STD-023" }, { "page": 41, "clause": "Section 60.4(b)", "text_snippet": "Develop and publish an enforcement policy, outlining: (i) Types of enforcement actions available; (ii) Criteria for selecting appropriate enforcement actions...", "_origin_rule_id": "STD-2024-060.4b" } ], "_merge_count": 2 }, { "rule_id": "STD-024", "title": "Periodic Surveillance for Ongoing Conformity", "rule_type": "obligation", "summary": "Where ongoing conformity is required, the CAB must conduct periodic surveillance.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "conduct periodic surveillance", "modality": "shall", "object": "surveillance activities", "conditions": [ "where ongoing conformity is required" ] }, "applicability": "CABs with ongoing conformity requirements", "severity": "high", "category": "Surveillance", "source_ref": { "page": 22, "clause": "Section 31.3(g)(i)", "text_snippet": "Where ongoing conformity is required, the CAB shall conduct periodic surveillance" } }, { "rule_id": "STD-024", "title": "Adequate Resources and Capacity", "rule_type": "obligation", "summary": "Service providers must maintain adequate resources and capacity to meet service commitments.", "core_obligation": { "actor": "Service providers", "action": "maintain adequate resources and capacity", "modality": "shall", "object": "resources and capacity", "conditions": [ "to meet service commitments" ] }, "applicability": "All service providers", "severity": "high", "category": "Service Delivery", "source_ref": { "page": 36, "clause": "Section 51.4(e)", "text_snippet": "Maintain adequate resources and capacity to meet service commitments" } }, { "rule_id": "STD-024", "title": "Triennial External Risk Framework Review", "rule_type": "obligation", "summary": "Regulated entities must engage external experts to review the risk management framework at least every three years.", "core_obligation": { "actor": "Regulated entities", "action": "engage external experts to review", "modality": "shall", "object": "risk management framework", "conditions": [ "at least every three years" ] }, "applicability": "All regulated entities", "severity": "high", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.5(c)", "text_snippet": "(c) Engage external experts to review the risk management framework at least every three years" } }, { "rule_id": "STD-024", "title": "Range of Enforcement Actions", "rule_type": "obligation", "summary": "The Competent Authority must maintain a range of enforcement actions (text incomplete in source).", "core_obligation": { "actor": "Competent Authority", "action": "maintain", "modality": "shall", "object": "range of enforcement actions", "conditions": [] }, "applicability": "The Competent Authority", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 41, "clause": "60.4(c)", "text_snippet": "Maintain a range of enf [text cut off]" } }, { "rule_id": "STD-025", "title": "Risk-Proportionate Surveillance", "rule_type": "obligation", "summary": "The frequency and extent of surveillance must be proportionate to the risks involved.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "determine surveillance frequency and extent", "modality": "shall", "object": "surveillance activities", "conditions": [ "proportionate to the risks involved" ] }, "applicability": "CABs conducting surveillance", "severity": "high", "category": "Surveillance", "source_ref": { "page": 22, "clause": "Section 31.3(g)(ii)", "text_snippet": "The frequency and extent of surveillance shall be proportionate to the risks involved" } }, { "rule_id": "STD-025", "title": "Contingency Plans for Service Disruptions", "rule_type": "obligation", "summary": "Service providers must implement contingency plans for service disruptions or emergencies.", "core_obligation": { "actor": "Service providers", "action": "implement contingency plans", "modality": "shall", "object": "contingency plans", "conditions": [ "for service disruptions or emergencies" ] }, "applicability": "All service providers", "severity": "high", "category": "Service Delivery", "source_ref": { "page": 36, "clause": "Section 51.4(f)", "text_snippet": "Implement contingency plans for service disruptions or emergencies" } }, { "rule_id": "STD-025", "title": "Prompt Remediation of Risk Deficiencies", "rule_type": "obligation", "summary": "Regulated entities must promptly address any deficiencies identified through independent assurance activities.", "core_obligation": { "actor": "Regulated entities", "action": "address deficiencies", "modality": "shall", "object": "deficiencies identified through independent assurance activities", "conditions": [ "promptly" ] }, "applicability": "All regulated entities with identified deficiencies", "severity": "critical", "category": "Risk Management", "source_ref": { "page": 40, "clause": "Section 59.5(d)", "text_snippet": "(d) Promptly address any deficiencies identified through independent assurance activities" } }, { "rule_id": "STD-026", "title": "Procedures for Unannounced Surveillance", "rule_type": "obligation", "summary": "The CAB must have procedures for unannounced surveillance activities.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "establish procedures for unannounced surveillance", "modality": "shall", "object": "procedures for unannounced surveillance activities", "conditions": [] }, "applicability": "All CABs conducting surveillance", "severity": "high", "category": "Surveillance", "source_ref": { "page": 22, "clause": "Section 31.3(g)(iii)", "text_snippet": "The CAB shall have procedures for unannounced surveillance activities" } }, { "rule_id": "STD-026", "title": "Staff Qualifications and Competence", "rule_type": "obligation", "summary": "Service providers must ensure that all staff delivering services have the necessary qualifications, skills, and experience.", "core_obligation": { "actor": "Service providers", "action": "ensure staff have necessary qualifications", "modality": "shall", "object": "staff qualifications, skills, and experience", "conditions": [ "all staff delivering services" ] }, "applicability": "All service providers", "severity": "high", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.5(a)", "text_snippet": "Ensure that all staff delivering services have the necessary qualifications, skills, and experience" } }, { "rule_id": "STD-027", "title": "Grounds for Suspension or Withdrawal of Attestations", "rule_type": "power", "summary": "A CAB may suspend or withdraw an attestation if the holder no longer meets requirements, misuses the attestation, fails to allow surveillance, or new information indicates non-conformity.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "suspend or withdraw attestation", "modality": "may", "object": "attestation", "conditions": [ "holder no longer meets requirements", "holder misuses attestation", "holder fails to allow surveillance or reassessment", "new information indicates non-conformity" ] }, "applicability": "All CABs that have issued attestations", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 22, "clause": "Section 31.4(a)", "text_snippet": "A CAB may suspend or withdraw an attestation if..." } }, { "rule_id": "STD-027", "title": "Professional Development System", "rule_type": "obligation", "summary": "Service providers must implement a system for ongoing professional development and training of staff.", "core_obligation": { "actor": "Service providers", "action": "implement professional development system", "modality": "shall", "object": "system for ongoing professional development and training", "conditions": [ "ongoing" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.5(b)", "text_snippet": "Implement a system for ongoing professional development and training of staff" } }, { "rule_id": "STD-028", "title": "Notification of Suspension or Withdrawal", "rule_type": "obligation", "summary": "The CAB must inform the holder and the Competent Authority of any suspension or withdrawal of attestation.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "inform holder and Competent Authority", "modality": "shall", "object": "notification of suspension or withdrawal", "conditions": [ "of any suspension or withdrawal" ] }, "applicability": "All CABs suspending or withdrawing attestations", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 22, "clause": "Section 31.4(b)", "text_snippet": "The CAB shall inform the holder and the Competent Authority of any suspension or withdrawal" } }, { "rule_id": "STD-028", "title": "Staff Qualification Records", "rule_type": "obligation", "summary": "Service providers must maintain records of staff qualifications, training, and professional development.", "core_obligation": { "actor": "Service providers", "action": "maintain records of staff qualifications and training", "modality": "shall", "object": "records of staff qualifications, training, and professional development", "conditions": [] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.5(c)", "text_snippet": "Maintain records of staff qualifications, training, and professional development" } }, { "rule_id": "STD-028C", "title": "Periodic Review of Licensing Framework", "rule_type": "obligation", "summary": "The Competent Authority must conduct periodic reviews of licensing requirements and procedures at least every [X] years to ensure continued relevance and effectiveness.", "core_obligation": { "actor": "Competent Authority", "action": "conduct periodic review", "modality": "shall", "object": "licensing requirements and procedures", "conditions": [ "at least every [X] years", "to ensure they remain relevant and effective in light of technological advancements and market changes" ] }, "applicability": "The Competent Authority responsible for licensing oversight.", "severity": "medium", "category": "Regulatory Oversight", "source_ref": { "page": 19, "clause": "28c. Review", "text_snippet": "The Competent Authority shall conduct a periodic review, at least every [X] years, of the licensing requirements and procedures to ensure they remain relevant and effective..." } }, { "rule_id": "STD-029", "title": "Opportunity for Corrective Action", "rule_type": "obligation", "summary": "The CAB must provide the holder with the opportunity to take corrective action before final withdrawal of attestation.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "provide opportunity for corrective action", "modality": "shall", "object": "opportunity to take corrective action", "conditions": [ "before final withdrawal" ] }, "applicability": "All CABs withdrawing attestations", "severity": "high", "category": "Enforcement", "source_ref": { "page": 22, "clause": "Section 31.4(c)", "text_snippet": "The CAB shall provide the holder with the opportunity to take corrective action before final withdrawal" } }, { "rule_id": "STD-029", "title": "Staff Competence Assessment", "rule_type": "obligation", "summary": "Service providers must regularly assess staff competence and performance.", "core_obligation": { "actor": "Service providers", "action": "assess staff competence and performance", "modality": "shall", "object": "staff competence and performance", "conditions": [ "regularly" ] }, "applicability": "All service providers", "severity": "medium", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.5(d)", "text_snippet": "Regularly assess staff competence and performance" } }, { "rule_id": "STD-030", "title": "Publication of Suspended or Withdrawn Attestations", "rule_type": "obligation", "summary": "The CAB must publish information about suspended or withdrawn attestations on its website.", "core_obligation": { "actor": "Conformity Assessment Body", "action": "publish information", "modality": "shall", "object": "information about suspended or withdrawn attestations", "conditions": [ "on its website" ] }, "applicability": "All CABs suspending or withdrawing attestations", "severity": "high", "category": "Transparency", "source_ref": { "page": 22, "clause": "Section 31.4(d)", "text_snippet": "The CAB shall publish information about suspended or withdrawn attestations on its website" } }, { "rule_id": "STD-030", "title": "Professional Code of Conduct Adherence", "rule_type": "obligation", "summary": "Service providers must adhere to relevant professional codes of conduct or ethics.", "core_obligation": { "actor": "Service providers", "action": "adhere to professional codes of conduct", "modality": "shall", "object": "professional codes of conduct or ethics", "conditions": [ "relevant" ] }, "applicability": "All service providers", "severity": "high", "category": "Compliance", "source_ref": { "page": 36, "clause": "Section 51.5(e)", "text_snippet": "Adhere to relevant professional codes of conduct or ethics" } }, { "rule_id": "STD-041.1", "title": "Granting of Recognition When Conditions Met", "rule_type": "obligation", "summary": "The Competent Authority must grant recognition if satisfied that all conditions for recognition are met.", "core_obligation": { "actor": "Competent Authority", "action": "grant recognition", "modality": "shall", "object": "recognition of foreign approval or certificate", "conditions": [ "if satisfied that the conditions for recognition are met" ] }, "applicability": "Competent Authority processing applications for recognition of foreign approvals or certificates.", "severity": "high", "category": "Administrative Procedure", "source_ref": { "page": 29, "clause": "Section 41.1(a)", "text_snippet": "If satisfied that the conditions for recognition are met, the Competent Authority shall grant recognition" } }, { "rule_id": "STD-041.1b", "title": "Types of Recognition Framework", "rule_type": "definition", "summary": "Recognition may be granted in four forms: Full (equivalent to domestic), Partial (certain aspects only), Conditional (additional requirements needed), or Time-limited (specified period with review).", "core_obligation": { "actor": "Competent Authority", "action": "determine type of recognition", "modality": "may", "object": "recognition classification", "conditions": [] }, "applicability": "All recognition decisions made by the Competent Authority.", "severity": "medium", "category": "Administrative Procedure", "source_ref": { "page": 29, "clause": "Section 41.1(b)", "text_snippet": "The recognition may be: (i) Full... (ii) Partial... (iii) Conditional... (iv) Time-limited..." } }, { "rule_id": "STD-041.2a", "title": "Refusal of Recognition When Conditions Not Met", "rule_type": "obligation", "summary": "The Competent Authority must refuse recognition if the conditions for recognition are not satisfied.", "core_obligation": { "actor": "Competent Authority", "action": "refuse recognition", "modality": "shall", "object": "recognition application", "conditions": [ "if the conditions for recognition are not met" ] }, "applicability": "Competent Authority processing applications for recognition where conditions are not satisfied.", "severity": "high", "category": "Administrative Procedure", "source_ref": { "page": 29, "clause": "Section 41.2(a)", "text_snippet": "If the conditions for recognition are not met, the Competent Authority shall refuse recognition" } }, { "rule_id": "STD-041.2b", "title": "Detailed Written Reasons for Refusal", "rule_type": "obligation", "summary": "The Competent Authority must provide detailed written reasons for any refusal or partial recognition, including specific unmet criteria, deficiencies, and guidance on reapplication.", "core_obligation": { "actor": "Competent Authority", "action": "provide detailed reasons in writing", "modality": "shall", "object": "refusal decision (including partial recognition)", "conditions": [ "must include specific criteria not satisfied", "must include deficiencies in application or documentation", "must include guidance on whether revised application could be considered" ] }, "applicability": "All refusal decisions or partial recognition decisions by the Competent Authority.", "severity": "high", "category": "Procedural Fairness", "source_ref": { "page": 29, "clause": "Section 41.2(b)", "text_snippet": "The Competent Authority shall provide detailed reasons for the refusal (including refusal in case of partial recognition) in writing, including: (i) Specific criteria... (ii) Any deficiencies... (iii) Guidance..." } }, { "rule_id": "STD-041.3a", "title": "Written Notification Timeline for Decision", "rule_type": "obligation", "summary": "The Competent Authority must notify the applicant in writing of its recognition decision within [Y] days of making the decision.", "core_obligation": { "actor": "Competent Authority", "action": "notify applicant in writing", "modality": "shall", "object": "recognition decision", "conditions": [ "within [Y] days of making the decision" ] }, "applicability": "All recognition decisions (grant or refusal) made by the Competent Authority.", "severity": "high", "category": "Administrative Procedure", "source_ref": { "page": 29, "clause": "Section 41.3(a)", "text_snippet": "The Competent Authority shall notify the applicant of its decision in writing within [Y] days of making the decision" } }, { "rule_id": "STD-041.3b-i", "title": "Publication in Official Gazette", "rule_type": "obligation", "summary": "If recognition is granted, the Competent Authority must publish a notice in the Official Gazette within [Z] days.", "core_obligation": { "actor": "Competent Authority", "action": "publish notice in Official Gazette", "modality": "shall", "object": "recognition grant notice", "conditions": [ "if recognition is granted", "within [Z] days" ] }, "applicability": "Competent Authority when recognition is granted.", "severity": "medium", "category": "Transparency and Publication", "source_ref": [ { "page": 29, "clause": "Section 41.3(b)(i)", "text_snippet": "If recognition is granted, the Competent Authority shall: (i) Publish a notice in the [Official Gazette] within [Z] days", "_origin_rule_id": "STD-041.3b-i" }, { "page": 6, "clause": "Section 7.3(b)", "text_snippet": "Published in the [Official Gazette]", "_origin_rule_id": "STD-2024-007" } ], "_merge_count": 2 }, { "rule_id": "STD-041.3b-ii", "title": "Update Public Register of Recognised Foreign Approvals", "rule_type": "obligation", "summary": "If recognition is granted, the Competent Authority must update the public register of recognised foreign approvals and certificates within [W] days.", "core_obligation": { "actor": "Competent Authority", "action": "update public register", "modality": "shall", "object": "public register of recognised foreign approvals and certificates", "conditions": [ "if recognition is granted", "within [W] days" ] }, "applicability": "Competent Authority when recognition is granted.", "severity": "medium", "category": "Transparency and Publication", "source_ref": { "page": 29, "clause": "Section 41.3(b)(ii)", "text_snippet": "Update the public register of recognised foreign approvals and certificates within [W] days" } }, { "rule_id": "STD-041.3b-iii", "title": "Notification to Government Agencies and Industry Bodies", "rule_type": "obligation", "summary": "If recognition is granted, the Competent Authority must notify relevant government agencies and industry bodies of the recognition.", "core_obligation": { "actor": "Competent Authority", "action": "notify relevant government agencies and industry bodies", "modality": "shall", "object": "recognition decision", "conditions": [ "if recognition is granted" ] }, "applicability": "Competent Authority when recognition is granted.", "severity": "medium", "category": "Inter-Agency Coordination", "source_ref": { "page": 29, "clause": "Section 41.3(b)(iii)", "text_snippet": "Notify relevant government agencies and industry bodies of the recognition" } }, { "rule_id": "STD-050.1a", "title": "Conformity Marking Verification", "rule_type": "obligation", "summary": "Distributors must verify that products bear the required conformity marking before distribution.", "core_obligation": { "actor": "Distributors", "action": "verify conformity marking", "modality": "shall", "object": "product conformity marking", "conditions": [ "before making product available on market" ] }, "applicability": "All distributors handling products requiring conformity marking.", "severity": "high", "category": "Product Compliance", "source_ref": { "page": 35, "clause": "Section 50.1(a)", "text_snippet": "Verify that the product bears the required conformity marking" } }, { "rule_id": "STD-050.1b", "title": "Documentation and Instructions Verification", "rule_type": "obligation", "summary": "Distributors must verify that products are accompanied by required documents, instructions, and safety information in a consumer-accessible language.", "core_obligation": { "actor": "Distributors", "action": "verify accompanying documentation", "modality": "shall", "object": "required documents, instructions, and safety information", "conditions": [ "in a language easily understood by consumers" ] }, "applicability": "All distributors of products requiring documentation.", "severity": "high", "category": "Consumer Safety", "source_ref": { "page": 35, "clause": "Section 50.1(b)", "text_snippet": "Verify that the product is accompanied by the required documents, instructions, and safety information in a language easily understood by consumers" } }, { "rule_id": "STD-050.1c", "title": "Upstream Traceability Verification", "rule_type": "obligation", "summary": "Distributors must verify that manufacturers and importers have complied with their traceability obligations.", "core_obligation": { "actor": "Distributors", "action": "verify compliance with traceability obligations", "modality": "shall", "object": "manufacturer and importer traceability compliance", "conditions": [] }, "applicability": "All distributors in the supply chain.", "severity": "high", "category": "Traceability", "source_ref": { "page": 35, "clause": "Section 50.1(c)", "text_snippet": "Verify that the manufacturer and importer have complied with their obligations regarding traceability" } }, { "rule_id": "STD-050.1d", "title": "Regular Compliance Sampling", "rule_type": "obligation", "summary": "Distributors must conduct regular checks on product samples to ensure ongoing compliance.", "core_obligation": { "actor": "Distributors", "action": "conduct regular compliance checks", "modality": "shall", "object": "sample of products", "conditions": [ "to ensure ongoing compliance" ] }, "applicability": "All distributors handling regulated products.", "severity": "medium", "category": "Quality Assurance", "source_ref": { "page": 35, "clause": "Section 50.1(d)", "text_snippet": "Conduct regular checks on a sample of products to ensure ongoing compliance" } }, { "rule_id": "STD-050.1e", "title": "Complaint and Return Register", "rule_type": "obligation", "summary": "Distributors must maintain a register of customer complaints and product returns, analyzing data for potential safety or quality issues.", "core_obligation": { "actor": "Distributors", "action": "maintain and analyze complaint register", "modality": "shall", "object": "register of customer complaints and product returns", "conditions": [ "analysing this data for potential safety or quality issues" ] }, "applicability": "All distributors with customer-facing operations.", "severity": "medium", "category": "Post-Market Surveillance", "source_ref": { "page": 35, "clause": "Section 50.1(e)", "text_snippet": "Maintain a register of customer complaints and product returns, analysing this data for potential safety or quality issues" } }, { "rule_id": "STD-050.2a", "title": "Storage and Transport Compliance Protection", "rule_type": "obligation", "summary": "Distributors must ensure that storage or transport conditions do not jeopardize product compliance with applicable requirements.", "core_obligation": { "actor": "Distributors", "action": "ensure compliant storage and transport conditions", "modality": "shall", "object": "storage or transport conditions", "conditions": [ "while product is under their responsibility", "do not jeopardise compliance with applicable requirements" ] }, "applicability": "All distributors responsible for product storage or transport.", "severity": "high", "category": "Product Integrity", "source_ref": { "page": 35, "clause": "Section 50.2(a)", "text_snippet": "Ensure that, while a product is under their responsibility, storage or transport conditions do not jeopardise its compliance with applicable requirements" } }, { "rule_id": "STD-050.2b", "title": "Environmental Monitoring System", "rule_type": "obligation", "summary": "Distributors must implement a documented system for monitoring and controlling environmental conditions during storage and transport.", "core_obligation": { "actor": "Distributors", "action": "implement documented monitoring system", "modality": "shall", "object": "system for monitoring and controlling environmental conditions", "conditions": [ "during storage and transport", "documented" ] }, "applicability": "All distributors handling products sensitive to environmental conditions.", "severity": "high", "category": "Quality Management", "source_ref": { "page": 35, "clause": "Section 50.2(b)", "text_snippet": "Implement a documented system for monitoring and controlling environmental conditions during storage and transport" } }, { "rule_id": "STD-050.2c", "title": "Storage and Transport Records", "rule_type": "obligation", "summary": "Distributors must maintain records of storage and transport conditions for each batch or lot of products.", "core_obligation": { "actor": "Distributors", "action": "maintain condition records", "modality": "shall", "object": "records of storage and transport conditions", "conditions": [ "for each batch or lot of products" ] }, "applicability": "All distributors handling batched or lotted products.", "severity": "medium", "category": "Record Keeping", "source_ref": { "page": 35, "clause": "Section 50.2(c)", "text_snippet": "Maintain records of storage and transport conditions for each batch or lot of products" } }, { "rule_id": "STD-050.2d", "title": "Cold Chain Management System", "rule_type": "obligation", "summary": "Distributors must implement a cold chain management system for products requiring temperature control.", "core_obligation": { "actor": "Distributors", "action": "implement cold chain management system", "modality": "shall", "object": "cold chain management system", "conditions": [ "for products requiring temperature control" ] }, "applicability": "Distributors handling temperature-sensitive products.", "severity": "critical", "category": "Product Safety", "source_ref": { "page": 35, "clause": "Section 50.2(d)", "text_snippet": "Implement a cold chain management system for products requiring temperature control" } }, { "rule_id": "STD-050.3a", "title": "Prohibition on Non-Conforming Product Distribution", "rule_type": "obligation", "summary": "Distributors must not make available on the market products which they consider or have reason to believe are not in conformity with applicable requirements.", "core_obligation": { "actor": "Distributors", "action": "not make available non-conforming products", "modality": "shall not", "object": "products not in conformity with applicable requirements", "conditions": [ "when they consider or have reason to believe non-conformity exists" ] }, "applicability": "All distributors.", "severity": "critical", "category": "Market Surveillance", "source_ref": { "page": 35, "clause": "Section 50.3(a)", "text_snippet": "Not make available on the market products which they consider or have reason to believe are not in conformity with applicable requirements" } }, { "rule_id": "STD-050.3b", "title": "Non-Conformity Notification Obligation", "rule_type": "obligation", "summary": "Distributors must inform the manufacturer or importer and the Competent Authority when they consider or have reason to believe that a product is not in conformity.", "core_obligation": { "actor": "Distributors", "action": "inform manufacturer, importer, and Competent Authority", "modality": "shall", "object": "non-conformity information", "conditions": [ "when they consider or have reason to believe product is not in conformity" ] }, "applicability": "All distributors identifying non-conforming products.", "severity": "critical", "category": "Regulatory Reporting", "source_ref": { "page": 35, "clause": "Section 50.3(b)", "text_snippet": "Inform the manufacturer or importer and the Competent Authority when they consider or have reason to believe that a product is not in conformity" } }, { "rule_id": "STD-050.3c", "title": "Corrective Measures for Non-Conformity", "rule_type": "obligation", "summary": "Distributors must ensure that corrective measures are taken to bring the product into conformity, to withdraw it, or to recall it, as appropriate.", "core_obligation": { "actor": "Distributors", "action": "ensure corrective measures are taken", "modality": "shall", "object": "corrective measures (conformity, withdrawal, or recall)", "conditions": [ "as appropriate to the non-conformity" ] }, "applicability": "All distributors handling non-conforming products.", "severity": "critical", "category": "Corrective Action", "source_ref": { "page": 35, "clause": "Section 50.3(c)", "text_snippet": "Ensure that corrective measures are taken to bring the product into conformity, to withdraw it, or to recall it, as appropriate" } }, { "rule_id": "STD-050.3d", "title": "Authority Cooperation Obligation", "rule_type": "obligation", "summary": "Distributors must cooperate fully with the Competent Authority in any investigation or recall action.", "core_obligation": { "actor": "Distributors", "action": "cooperate fully with Competent Authority", "modality": "shall", "object": "cooperation in investigations or recall actions", "conditions": [] }, "applicability": "All distributors subject to regulatory oversight.", "severity": "critical", "category": "Regulatory Cooperation", "source_ref": { "page": 35, "clause": "Section 50.3(d)", "text_snippet": "Cooperate fully with the Competent Authority in any investigation or recall action" } }, { "rule_id": "STD-050.3e", "title": "Non-Conforming Product Handling Procedure", "rule_type": "obligation", "summary": "Distributors must maintain a documented procedure for handling non-conforming products, including quarantine measures and communication protocols.", "core_obligation": { "actor": "Distributors", "action": "maintain documented handling procedure", "modality": "shall", "object": "procedure for handling non-conforming products", "conditions": [ "including quarantine measures", "including communication protocols" ] }, "applicability": "All distributors.", "severity": "high", "category": "Quality Management", "source_ref": { "page": 35, "clause": "Section 50.3(e)", "text_snippet": "Maintain a documented procedure for handling non-conforming products, including quarantine measures and communication protocols" } }, { "rule_id": "STD-050.4a", "title": "Product Distribution Records", "rule_type": "obligation", "summary": "Distributors must maintain comprehensive records of all products received and distributed, including identification, quantity, dates, and supplier/customer information.", "core_obligation": { "actor": "Distributors", "action": "maintain distribution records", "modality": "shall", "object": "records of all products received and distributed", "conditions": [ "including product identification (model number, serial number)", "including quantity received and distributed", "including date of receipt and distribution", "including name and address of supplier and customer (excluding end consumers)" ] }, "applicability": "All distributors in the supply chain.", "severity": "high", "category": "Traceability", "source_ref": { "page": 35, "clause": "Section 50.4(a)", "text_snippet": "Maintain records of all products received and distributed, including: (i) Product identification (e.g., model number, serial number); (ii) Quantity received and distributed; (iii) Date of receipt and distribution; (iv) Name and address of the supplier and the customer (excluding end consumers)" } }, { "rule_id": "STD-050.4b", "title": "Record Retention and Accessibility", "rule_type": "obligation", "summary": "Distributors must ensure traceability records are readily accessible and maintained for at least [X] years.", "core_obligation": { "actor": "Distributors", "action": "ensure record accessibility and retention", "modality": "shall", "object": "traceability records", "conditions": [ "readily accessible", "maintained for at least [X] years" ] }, "applicability": "All distributors maintaining traceability records.", "severity": "high", "category": "Record Keeping", "source_ref": { "page": 35, "clause": "Section 50.4(b)", "text_snippet": "Ensure these records are readily accessible and maintained for at least [X] years" } }, { "rule_id": "STD-050.4c", "title": "Product Identification and Location System", "rule_type": "obligation", "summary": "Distributors must implement a system to quickly identify and locate products in case of safety issues or recalls.", "core_obligation": { "actor": "Distributors", "action": "implement product identification and location system", "modality": "shall", "object": "system to quickly identify and locate products", "conditions": [ "in case of safety issues or recalls" ] }, "applicability": "All distributors.", "severity": "critical", "category": "Recall Readiness", "source_ref": { "page": 35, "clause": "Section 50.4(c)", "text_snippet": "Implement a system to quickly identify and locate products in case of safety issues or recalls" } }, { "rule_id": "STD-050.5a", "title": "Staff Training Requirements", "rule_type": "obligation", "summary": "Distributors must ensure all staff involved in product handling and customer service are adequately trained on product features, regulatory requirements, and non-conformity procedures.", "core_obligation": { "actor": "Distributors", "action": "ensure adequate staff training", "modality": "shall", "object": "staff involved in product handling and customer service", "conditions": [ "on product features and proper use", "on applicable regulatory requirements", "on procedures for handling non-conforming products and customer complaints" ] }, "applicability": "All distributors with staff handling products or serving customers.", "severity": "medium", "category": "Human Resources", "source_ref": [ { "page": 35, "clause": "Section 50.5(a)", "text_snippet": "Ensure that all staff involved in product handling and customer service are adequately trained on: (i) Product features and proper use; (ii) Applicable regulatory requirements; (iii) Procedures for handling non-conforming products and customer complaints", "_origin_rule_id": "STD-050.5a" }, { "page": 38, "clause": "Section 55.1", "text_snippet": "Actors shall: (a) Ensure that all staff are adequately trained to perform their duties in compliance with this Act and applicable regulations; (b) Provide regular refresher training; (c) Keep records of all training provided for [X] years.", "_origin_rule_id": "STD-2024-055.1" } ], "_merge_count": 2 }, { "rule_id": "STD-050.5b", "title": "Training Records and Competence Assessment", "rule_type": "obligation", "summary": "Distributors must maintain records of staff training and regularly assess competence.", "core_obligation": { "actor": "Distributors", "action": "maintain training records and assess competence", "modality": "shall", "object": "records of staff training and competence assessments", "conditions": [ "regularly assess competence" ] }, "applicability": "All distributors with trained staff.", "severity": "medium", "category": "Quality Management", "source_ref": { "page": 35, "clause": "Section 50.5(b)", "text_snippet": "Maintain records of staff training and regularly assess competence" } }, { "rule_id": "STD-050.5c", "title": "Qualified Compliance Person Designation", "rule_type": "obligation", "summary": "Distributors must designate a qualified person responsible for regulatory compliance.", "core_obligation": { "actor": "Distributors", "action": "designate qualified compliance person", "modality": "shall", "object": "qualified person responsible for regulatory compliance", "conditions": [] }, "applicability": "All distributors.", "severity": "high", "category": "Organizational Requirements", "source_ref": { "page": 35, "clause": "Section 50.5(c)", "text_snippet": "Designate a qualified person responsible for regulatory compliance" } }, { "rule_id": "STD-057.1", "title": "Right to Compensation for Corruption Damage", "rule_type": "power", "summary": "Any person who has suffered damage as a result of corruption has the right to initiate legal proceedings to obtain full compensation from those responsible.", "core_obligation": { "actor": "Any person who has suffered damage", "action": "initiate legal proceedings to obtain full compensation", "modality": "shall have the right", "object": "legal proceedings against those responsible for damage", "conditions": [ "damage must result from corruption" ] }, "applicability": "Any person who has suffered damage as a result of corruption.", "severity": "medium", "category": "Civil Liability", "source_ref": { "page": 39, "clause": "Section 57.1", "text_snippet": "Any person who has suffered damage as a result of … shall have the right to initiate legal proceedings against those responsible for that damage in order to obtain full compensation." } }, { "rule_id": "STD-057.2", "title": "Joint and Several Liability for Corruption Damage", "rule_type": "obligation", "summary": "Where multiple defendants are liable for corruption-related damage, they shall be jointly and severally liable.", "core_obligation": { "actor": "Multiple defendants liable for damage caused by corruption", "action": "be jointly and severally liable", "modality": "shall", "object": "liability for damage", "conditions": [ "more than one defendant is liable for damage caused by corruption" ] }, "applicability": "Cases where more than one defendant is liable for damage caused by corruption.", "severity": "high", "category": "Civil Liability", "source_ref": { "page": 39, "clause": "Section 57.2", "text_snippet": "Where more than one defendant is liable for damage caused by corruption, they shall be jointly and severally liable." } }, { "rule_id": "STD-057.3", "title": "Vicarious Liability of Legal Persons", "rule_type": "obligation", "summary": "Legal persons are liable for damage caused by their employees or agents acting within the scope of employment or agency, unless they can prove they took all reasonable precautions and exercised due diligence to prevent the corrupt conduct.", "core_obligation": { "actor": "Legal persons", "action": "be liable for damage caused by employees or agents", "modality": "shall", "object": "damage caused by employees or agents", "conditions": [ "employees or agents acting within the scope of their employment or agency", "unless the legal person can prove it took all reasonable precautions and exercised due diligence to prevent the corrupt conduct" ] }, "applicability": "Legal persons whose employees or agents engage in corrupt conduct within the scope of their employment or agency.", "severity": "high", "category": "Civil Liability", "source_ref": { "page": 39, "clause": "Section 57.3", "text_snippet": "Legal persons shall be liable for damage caused by their employees or agents acting within the scope of their employment or agency, unless the legal person can prove that it took all reasonable precautions and exercised due diligence to prevent the corrupt conduct." } }, { "rule_id": "STD-057.4", "title": "Disgorgement of Profits from Corrupt Acts", "rule_type": "power", "summary": "Courts may order the disgorgement of any profits derived from corrupt acts, in addition to compensation for damage.", "core_obligation": { "actor": "The court", "action": "order disgorgement of profits", "modality": "may", "object": "profits derived from corrupt acts", "conditions": [ "in addition to compensation for damage" ] }, "applicability": "Cases involving corrupt acts where profits were derived.", "severity": "medium", "category": "Civil Liability", "source_ref": { "page": 39, "clause": "Section 57.4", "text_snippet": "In addition to compensation for damage, the court may order the disgorgement of any profits derived from the corrupt acts." } }, { "rule_id": "STD-057.5", "title": "Limitation Period for Compensation Claims", "rule_type": "obligation", "summary": "Claims for compensation must be brought within [X] years from the date the claimant became aware, or ought reasonably to have become aware, of the damage and the identity of the person responsible.", "core_obligation": { "actor": "Claimants seeking compensation", "action": "bring claims within specified time period", "modality": "must", "object": "claims for compensation", "conditions": [ "within [X] years from the date the claimant became aware of the damage and identity of responsible person", "or within [X] years from when claimant ought reasonably to have become aware" ] }, "applicability": "All claimants seeking compensation under Section 57.", "severity": "high", "category": "Civil Liability", "source_ref": { "page": 39, "clause": "Section 57.5", "text_snippet": "Claims for compensation under this section must be brought within [X] years from the date the claimant became aware, or ought reasonably to have become aware, of the damage and the identity of the person responsible." } }, { "rule_id": "STD-064-001", "title": "Investigative Powers - Entry and Inspection", "rule_type": "power", "summary": "Authorised officers of the Competent Authority have the power to enter and inspect premises where regulated activities are carried out, examine documents, take samples, seize evidence, interview persons, and require electronic information.", "core_obligation": { "actor": "Authorised officers of the Competent Authority", "action": "enter, inspect, examine, copy, take samples, seize evidence, interview, and require production of information", "modality": "shall have the power to", "object": "premises, documents, records, substances, materials, evidence, employees, electronic information", "conditions": [ "at any reasonable time for routine inspections", "at any time if there is reasonable suspicion of a serious violation", "entry into residential premises requires a court-issued warrant" ] }, "applicability": "Authorised officers conducting investigations of regulated activities", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.1", "text_snippet": "Authorised officers of the Competent Authority shall have the power to: (i) Enter and inspect any premises..." } }, { "rule_id": "STD-064-002", "title": "Compliance Notice Issuance Power", "rule_type": "power", "summary": "The Competent Authority may issue compliance notices requiring regulated entities to cease non-compliant activities, take corrective actions, and submit compliance plans when violations are identified.", "core_obligation": { "actor": "Competent Authority", "action": "issue compliance notice", "modality": "may", "object": "compliance notice requiring cessation, corrective actions, and compliance plan", "conditions": [ "where a violation is identified" ] }, "applicability": "Competent Authority when violations are identified", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.2(a)", "text_snippet": "Where a violation is identified, the Competent Authority may issue a compliance notice requiring..." } }, { "rule_id": "STD-064-003", "title": "Compliance Notice Content Requirements", "rule_type": "obligation", "summary": "Compliance notices must clearly state the violation nature, specify relevant legal provisions, exhaustively specify corrective actions, and outline consequences of non-compliance.", "core_obligation": { "actor": "Competent Authority", "action": "include specified content in compliance notice", "modality": "shall", "object": "compliance notice content", "conditions": [ "clearly state the nature of the violation", "specify the relevant provisions of the Act or regulations", "exhaustively specify the corrective actions", "outline the consequences of non-compliance" ] }, "applicability": "Competent Authority when issuing compliance notices", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.2(b)", "text_snippet": "The notice shall: (i) Clearly state the nature of the violation..." } }, { "rule_id": "STD-064-004", "title": "Right to Appeal Compliance Notice", "rule_type": "power", "summary": "Regulated entities may appeal compliance notices to the Regulatory Appeals Tribunal within a specified timeframe.", "core_obligation": { "actor": "Regulated entity", "action": "appeal the notice", "modality": "may", "object": "compliance notice", "conditions": [ "to the Regulatory Appeals Tribunal", "within [X] days" ] }, "applicability": "Regulated entities subject to compliance notices", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.2(c)", "text_snippet": "The regulated entity may appeal the notice to the Regulatory Appeals Tribunal within [X] days." } }, { "rule_id": "STD-064-005", "title": "Administrative Penalty Imposition Power", "rule_type": "power", "summary": "The Competent Authority may impose various administrative penalties for violations including monetary fines, license suspension, mandatory corrective advertising, profit disgorgement, procurement debarment, compliance program changes, and compliance monitors.", "core_obligation": { "actor": "Competent Authority", "action": "impose administrative penalties", "modality": "may", "object": "monetary fines, license suspension/restriction, corrective advertising, profit disgorgement, procurement debarment, compliance program changes, compliance monitors", "conditions": [ "for violations", "fines up to [X]% of annual turnover", "debarment not exceeding [Z] years" ] }, "applicability": "Competent Authority for enforcement of violations", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 49, "clause": "Section 64.3(a)", "text_snippet": "The Competent Authority may impose administrative penalties for violations, including: (i) Monetary fines up to [X]% of annual turnover..." } }, { "rule_id": "STD-064-006", "title": "Penalty Determination Factors", "rule_type": "obligation", "summary": "In determining appropriate penalties, the Authority must consider multiple factors including violation nature and severity, guilt type, violation history, cooperation level, mitigating actions, undue advantage obtained, and impact on stakeholders.", "core_obligation": { "actor": "Competent Authority", "action": "consider specified factors when determining penalties", "modality": "shall consider", "object": "penalty determination factors", "conditions": [ "nature and severity of violation including guilt type", "history of previous violations", "degree of cooperation during investigation", "mitigating actions taken", "amount of undue advantage obtained or losses avoided", "level of cooperation with Authority", "previous violations", "potential impact on employees and stakeholders" ] }, "applicability": "Competent Authority when imposing administrative penalties", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.3(b)", "text_snippet": "In determining the appropriate penalty, the Authority shall consider: (i) The nature and severity of the violation..." } }, { "rule_id": "STD-064-007", "title": "Pre-Penalty Procedural Requirements", "rule_type": "obligation", "summary": "Before imposing a penalty, the Authority must provide written notice of intended penalty, allow the entity a specified period to make representations, and consider those representations before final decision.", "core_obligation": { "actor": "Competent Authority", "action": "follow procedural steps before imposing penalty", "modality": "shall", "object": "procedural requirements", "conditions": [ "provide written notice of intended penalty", "allow entity [X] days to make representations", "consider representations before final decision" ] }, "applicability": "Competent Authority before imposing administrative penalties", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.3(c)", "text_snippet": "Before imposing a penalty, the Authority shall: (i) Provide written notice of the intended penalty..." } }, { "rule_id": "STD-064-008", "title": "Right to Appeal Administrative Penalty", "rule_type": "power", "summary": "Any person aggrieved by an administrative penalty may appeal to the Administrative Tribunal or Court within a specified timeframe after notification.", "core_obligation": { "actor": "Person aggrieved by penalty", "action": "appeal to tribunal or court", "modality": "may", "object": "administrative penalty", "conditions": [ "to the [Administrative Tribunal/Court]", "within [X] days of being notified" ] }, "applicability": "Persons subject to administrative penalties", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.3(d)", "text_snippet": "Any person aggrieved by an administrative penalty imposed under this section may appeal to the [Administrative Tribunal/Court]..." } }, { "rule_id": "STD-064-009", "title": "Enforceable Undertakings as Alternative Enforcement", "rule_type": "power", "summary": "The Competent Authority may accept enforceable undertakings from regulated entities as an alternative to other enforcement actions.", "core_obligation": { "actor": "Competent Authority", "action": "accept enforceable undertakings", "modality": "may", "object": "enforceable undertakings from regulated entities", "conditions": [ "as an alternative to other enforcement actions" ] }, "applicability": "Competent Authority for alternative enforcement mechanisms", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.4(a)", "text_snippet": "As an alternative to other enforcement actions, the Competent Authority may accept enforceable undertakings..." } }, { "rule_id": "STD-064-010", "title": "Enforceable Undertaking Requirements", "rule_type": "obligation", "summary": "Enforceable undertakings must be in writing and signed, specify actions to be taken or refrained from, include compliance timeframes, and be published on both Authority's and entity's websites.", "core_obligation": { "actor": "Competent Authority and regulated entity", "action": "ensure undertakings meet specified requirements", "modality": "shall", "object": "enforceable undertaking content and publication", "conditions": [ "be in writing and signed by the entity", "specify actions the entity will take or refrain from", "include timeframes for compliance", "be published on Authority's and entity's websites" ] }, "applicability": "Enforceable undertakings between Authority and regulated entities", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.4(b)", "text_snippet": "Such undertakings shall: (i) Be in writing and signed by the entity..." } }, { "rule_id": "STD-064-011", "title": "Consequences of Breaching Enforceable Undertaking", "rule_type": "sanction", "summary": "Breach of an enforceable undertaking may result in court-ordered compliance, additional penalties imposed by court or Authority, and consideration as aggravating factor in future enforcement actions.", "core_obligation": { "actor": "Court or Competent Authority", "action": "impose consequences for breach", "modality": "may result in", "object": "court-ordered compliance, additional penalties, aggravating factor consideration", "conditions": [ "breach of an enforceable undertaking" ] }, "applicability": "Entities that breach enforceable undertakings", "severity": "high", "category": "Sanctions", "source_ref": { "page": 49, "clause": "Section 64.4(c)", "text_snippet": "Breach of an enforceable undertaking may result in: (i) Court-ordered compliance..." } }, { "rule_id": "STD-064-012", "title": "Search Warrant Application Power", "rule_type": "power", "summary": "The Competent Authority may apply to a court for a search warrant where there are reasonable grounds to suspect a serious violation, evidence is likely to be found on specific premises, and the occupier is likely to refuse entry or conceal evidence.", "core_obligation": { "actor": "Competent Authority", "action": "apply to court for search warrant", "modality": "may", "object": "search warrant", "conditions": [ "reasonable grounds to suspect a serious violation", "evidence likely to be found on specific premises", "occupier likely to refuse entry or conceal evidence" ] }, "applicability": "Competent Authority for serious violation investigations", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.5(a)", "text_snippet": "The Competent Authority may apply to a court for a search warrant where: (i) There are reasonable grounds..." } }, { "rule_id": "STD-064-013", "title": "Search Warrant Execution Powers", "rule_type": "power", "summary": "A search warrant authorises designated officers to enter and search specified premises, seize relevant documents and evidence, and use reasonable force if necessary to execute the warrant.", "core_obligation": { "actor": "Designated officers", "action": "enter, search, seize, and use reasonable force", "modality": "shall authorise", "object": "premises, documents, records, evidence", "conditions": [ "pursuant to valid search warrant", "use reasonable force if necessary" ] }, "applicability": "Designated officers executing search warrants", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.5(b)", "text_snippet": "A warrant shall authorise designated officers to: (i) Enter and search the specified premises..." } }, { "rule_id": "STD-064-014", "title": "Seized Items Handling Requirements", "rule_type": "obligation", "summary": "Seized items must be inventoried with receipt provided to occupier, securely stored to maintain chain of custody, and returned when no longer needed unless forfeited by court order.", "core_obligation": { "actor": "Competent Authority officers", "action": "inventory, store securely, and return seized items", "modality": "shall be", "object": "seized items", "conditions": [ "inventoried and receipt provided to occupier", "securely stored to maintain chain of custody", "returned when no longer needed unless forfeited by court order" ] }, "applicability": "Officers handling seized items during investigations", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.5(c)", "text_snippet": "Seized items shall be: (i) Inventoried and a receipt provided to the occupier..." } }, { "rule_id": "STD-064-015", "title": "Injunction Application Power", "rule_type": "power", "summary": "The Competent Authority may apply to the High Court for injunctions to prevent apprehended violations, require compliance actions, or freeze assets derived from illegal activities. In urgent cases, ex parte interim injunctions may be sought.", "core_obligation": { "actor": "Competent Authority", "action": "apply to High Court for injunctions", "modality": "may", "object": "injunctions to prevent violations, require compliance, or freeze assets", "conditions": [ "to prevent apprehended violation", "to require specific compliance actions", "to freeze assets from illegal activities", "ex parte interim injunctions in urgent cases" ] }, "applicability": "Competent Authority for preventive or remedial enforcement", "severity": "high", "category": "Enforcement", "source_ref": { "page": 49, "clause": "Section 64.6(a)(b)", "text_snippet": "The Competent Authority may apply to the High Court for injunctions to: (i) Prevent an apprehended violation..." } }, { "rule_id": "STD-064-016", "title": "Injunction Breach as Contempt of Court", "rule_type": "sanction", "summary": "Breach of an injunction shall be treated as contempt of court.", "core_obligation": { "actor": "Court", "action": "treat breach as contempt of court", "modality": "shall be treated as", "object": "contempt of court", "conditions": [ "breach of an injunction" ] }, "applicability": "Persons subject to injunctions", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 49, "clause": "Section 64.6(c)", "text_snippet": "Breach of an injunction shall be treated as contempt of court." } }, { "rule_id": "STD-064-017", "title": "Public Register of Enforcement Actions", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of enforcement actions including entity/individual name, violation nature, enforcement measure taken, and action date.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public register of enforcement actions", "modality": "shall maintain", "object": "public register", "conditions": [ "include name of entity or individual", "include nature of violation", "include enforcement measure taken", "include date of action" ] }, "applicability": "Competent Authority for transparency and public information", "severity": "medium", "category": "Compliance", "source_ref": { "page": 49, "clause": "Section 64.7(a)", "text_snippet": "The Competent Authority shall maintain a public register of enforcement actions, including..." } }, { "rule_id": "STD-064-018", "title": "Enforcement Register Publication Requirements", "rule_type": "obligation", "summary": "The enforcement register must be published on the Authority's website, updated within 7 days of any new action, and maintained for at least a specified number of years.", "core_obligation": { "actor": "Competent Authority", "action": "publish, update, and maintain register", "modality": "shall be", "object": "enforcement register", "conditions": [ "published on Authority's website", "updated within 7 days of any new action", "maintained for at least [X] years" ] }, "applicability": "Competent Authority for register management", "severity": "medium", "category": "Compliance", "source_ref": { "page": 49, "clause": "Section 64.7(b)", "text_snippet": "This register shall be: (i) Published on the Authority's website; (ii) Updated within 7 days..." } }, { "rule_id": "STD-064-019", "title": "Inter-Agency Cooperation Protocols", "rule_type": "obligation", "summary": "The Competent Authority must establish bilateral or multilateral protocols for cooperation with police, prosecutorial authorities, tax authorities, environmental agencies, and foreign regulators.", "core_obligation": { "actor": "Competent Authority", "action": "establish cooperation protocols", "modality": "shall establish", "object": "bilateral or multilateral protocols", "conditions": [ "with police and prosecutorial authorities for criminal matters", "with tax authorities for financial investigations", "with environmental agencies for related violations", "with foreign regulators for cross-border enforcement" ] }, "applicability": "Competent Authority for inter-agency coordination", "severity": "medium", "category": "Compliance", "source_ref": { "page": 49, "clause": "Section 64.8(a)", "text_snippet": "The Competent Authority shall establish bilateral or multilateral protocols for cooperation with..." } }, { "rule_id": "STD-064-020", "title": "Cooperation Protocol Content Requirements", "rule_type": "obligation", "summary": "Inter-agency cooperation protocols must cover information sharing procedures, joint investigation processes, delineation of jurisdictional responsibilities, and other joint actions if necessary.", "core_obligation": { "actor": "Competent Authority", "action": "include specified content in cooperation protocols", "modality": "shall cover", "object": "protocol content", "conditions": [ "information sharing procedures", "joint investigation processes", "delineation of jurisdictional responsibilities", "other joint actions if necessary" ] }, "applicability": "Competent Authority when establishing cooperation protocols", "severity": "medium", "category": "Compliance", "source_ref": { "page": 49, "clause": "Section 64.8(b)", "text_snippet": "These protocols shall cover: (i) Information sharing procedures; (ii) Joint investigation processes..." } }, { "rule_id": "STD-079-001", "title": "Amendment Initiation Authority", "rule_type": "power", "summary": "Amendments to the Act may be initiated by the Minister, Competent Authority, Members of Parliament, or public petition with sufficient signatures.", "core_obligation": { "actor": "Minister, Competent Authority, Members of Parliament, or Public", "action": "initiate amendments to the Act", "modality": "may", "object": "amendments to this Act", "conditions": [ "public petition requires at least [X] signatures" ] }, "applicability": "All parties with amendment initiation authority under Section 79.1(a).", "severity": "medium", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.1(a)", "text_snippet": "Amendments to this Act may be initiated by: (i) The Minister... (ii) The Competent Authority... (iii) Members of Parliament... (iv) Public petition..." } }, { "rule_id": "STD-079-002", "title": "Mandatory Amendment Documentation", "rule_type": "obligation", "summary": "All proposed amendments must be accompanied by a statement of objectives, regulatory impact assessment, and stakeholder consultation report.", "core_obligation": { "actor": "Amendment Initiator", "action": "provide required documentation", "modality": "shall", "object": "statement of objectives, regulatory impact assessment, and stakeholder consultation report", "conditions": [ "applies to all proposed amendments" ] }, "applicability": "All proposed amendments regardless of initiator.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.1(b)", "text_snippet": "All proposed amendments shall be accompanied by: (i) A statement of objectives and reasons... (ii) A regulatory impact assessment; and (iii) A report on stakeholder consultations..." } }, { "rule_id": "STD-079-003", "title": "Public Comment Period Requirement", "rule_type": "obligation", "summary": "The Minister must publish proposed amendments for public comment for at least 60 days before introducing the amendment bill to Parliament.", "core_obligation": { "actor": "Minister", "action": "publish proposed amendments for public comment", "modality": "shall", "object": "proposed amendments", "conditions": [ "for at least 60 days", "before introducing amendment bill to Parliament" ] }, "applicability": "All amendment bills before parliamentary introduction.", "severity": "high", "category": "Consultation and Transparency", "source_ref": [ { "page": 77, "clause": "Section 79.2(a)(i)", "text_snippet": "Before introducing any amendment bill to Parliament, the Minister shall: (i) Publish the proposed amendments for public comment for at least 60 days...", "_origin_rule_id": "STD-079-003" }, { "page": 6, "clause": "Section 7.2(c)", "text_snippet": "Publish a draft of the proposed changes for public comment at least [X] days before their adoption.", "_origin_rule_id": "STD-2024-004" } ], "_merge_count": 2 }, { "rule_id": "STD-079-004", "title": "Public Hearing Requirement", "rule_type": "obligation", "summary": "The Minister must hold public hearings in at least three major cities before introducing amendment bills to Parliament.", "core_obligation": { "actor": "Minister", "action": "hold public hearings", "modality": "shall", "object": "public hearings on proposed amendments", "conditions": [ "in at least three major cities", "before introducing amendment bill to Parliament" ] }, "applicability": "All amendment bills before parliamentary introduction.", "severity": "high", "category": "Consultation and Transparency", "source_ref": { "page": 77, "clause": "Section 79.2(a)(ii)", "text_snippet": "Before introducing any amendment bill to Parliament, the Minister shall: ... (ii) Hold public hearings in at least three major cities..." } }, { "rule_id": "STD-079-005", "title": "Inter-Agency Consultation Requirement", "rule_type": "obligation", "summary": "The Minister must consult with the Competent Authority and other relevant government agencies before introducing amendment bills.", "core_obligation": { "actor": "Minister", "action": "consult with government agencies", "modality": "shall", "object": "Competent Authority and other relevant government agencies", "conditions": [ "before introducing amendment bill to Parliament" ] }, "applicability": "All amendment bills before parliamentary introduction.", "severity": "high", "category": "Consultation and Transparency", "source_ref": { "page": 77, "clause": "Section 79.2(a)(iii)", "text_snippet": "Before introducing any amendment bill to Parliament, the Minister shall: ... (iii) Consult with the Competent Authority and other relevant government agencies..." } }, { "rule_id": "STD-079-006", "title": "Stakeholder Input Requirement", "rule_type": "obligation", "summary": "The Minister must seek input from industry associations and consumer groups before introducing amendment bills to Parliament.", "core_obligation": { "actor": "Minister", "action": "seek input from stakeholders", "modality": "shall", "object": "industry associations and consumer groups", "conditions": [ "before introducing amendment bill to Parliament" ] }, "applicability": "All amendment bills before parliamentary introduction.", "severity": "medium", "category": "Consultation and Transparency", "source_ref": { "page": 77, "clause": "Section 79.2(a)(iv)", "text_snippet": "Before introducing any amendment bill to Parliament, the Minister shall: ... (iv) Seek input from industry associations and consumer groups." } }, { "rule_id": "STD-079-007", "title": "Consultation Feedback Report", "rule_type": "obligation", "summary": "The Minister must publish a report summarizing all feedback received, how it was addressed, and reasons for not incorporating significant suggestions.", "core_obligation": { "actor": "Minister", "action": "publish consultation feedback report", "modality": "shall", "object": "report summarizing feedback, responses, and reasons for rejections", "conditions": [ "after consultation process", "before parliamentary introduction" ] }, "applicability": "All amendment bills after consultation process.", "severity": "high", "category": "Consultation and Transparency", "source_ref": { "page": 77, "clause": "Section 79.2(b)", "text_snippet": "The Minister shall publish a report summarising: (i) All feedback received... (ii) How this feedback has been addressed... (iii) Reasons for not incorporating significant suggestions." } }, { "rule_id": "STD-079-008", "title": "Parliamentary Committee Referral", "rule_type": "obligation", "summary": "Amendment bills must be referred to the relevant standing committee for detailed examination.", "core_obligation": { "actor": "Parliament", "action": "refer amendment bills to standing committee", "modality": "shall", "object": "amendment bills", "conditions": [ "for detailed examination" ] }, "applicability": "All amendment bills introduced in Parliament.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.3(a)(i)", "text_snippet": "Amendment bills shall be introduced in Parliament and: (i) Referred to the relevant standing committee for detailed examination..." } }, { "rule_id": "STD-079-009", "title": "Parliamentary Debate Requirement", "rule_type": "obligation", "summary": "Amendment bills must be subject to at least two rounds of debate in both houses of Parliament.", "core_obligation": { "actor": "Parliament", "action": "conduct debates on amendment bills", "modality": "shall", "object": "amendment bills", "conditions": [ "at least two rounds of debate", "in both houses of Parliament" ] }, "applicability": "All amendment bills introduced in Parliament.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.3(a)(ii)", "text_snippet": "Amendment bills shall be... (ii) Subject to at least two rounds of debate in both houses of Parliament..." } }, { "rule_id": "STD-079-010", "title": "Parliamentary Voting Threshold", "rule_type": "obligation", "summary": "Amendment bills require simple majority to pass, unless affecting fundamental rights or federal structure, which require two-thirds majority.", "core_obligation": { "actor": "Parliament", "action": "pass amendment bills by required majority", "modality": "required", "object": "amendment bills", "conditions": [ "simple majority for standard amendments", "two-thirds majority if affecting fundamental rights or federal structure" ] }, "applicability": "All amendment bills in Parliament.", "severity": "critical", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.3(a)(iii)", "text_snippet": "Passed by a simple majority, unless the amendment affects fundamental rights or federal structure, in which case a two-thirds majority is required." } }, { "rule_id": "STD-079-011", "title": "Standing Committee Expert Testimony", "rule_type": "obligation", "summary": "The standing committee must invite expert testimony on proposed amendments.", "core_obligation": { "actor": "Standing Committee", "action": "invite expert testimony", "modality": "shall", "object": "expert testimony on proposed amendments", "conditions": [] }, "applicability": "All amendment bills referred to standing committee.", "severity": "medium", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.3(b)(i)", "text_snippet": "The standing committee shall: (i) Invite expert testimony on the proposed amendments..." } }, { "rule_id": "STD-079-012", "title": "Standing Committee Stakeholder Submissions", "rule_type": "obligation", "summary": "The standing committee must consider written submissions from stakeholders.", "core_obligation": { "actor": "Standing Committee", "action": "consider written submissions", "modality": "shall", "object": "written submissions from stakeholders", "conditions": [] }, "applicability": "All amendment bills referred to standing committee.", "severity": "medium", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.3(b)(ii)", "text_snippet": "The standing committee shall: ... (ii) Consider written submissions from stakeholders..." } }, { "rule_id": "STD-079-013", "title": "Standing Committee Report Deadline", "rule_type": "obligation", "summary": "The standing committee must publish a report with recommendations within 90 days.", "core_obligation": { "actor": "Standing Committee", "action": "publish report with recommendations", "modality": "shall", "object": "report with recommendations on amendment bill", "conditions": [ "within 90 days" ] }, "applicability": "All amendment bills referred to standing committee.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.3(b)(iii)", "text_snippet": "The standing committee shall: ... (iii) Publish a report with its recommendations within 90 days." } }, { "rule_id": "STD-079-014", "title": "Substantive Amendment Process Requirements", "rule_type": "obligation", "summary": "Substantive amendments that significantly alter scope, principles, or enforcement must be introduced as separate bills and subject to full consultation and parliamentary process.", "core_obligation": { "actor": "Amendment Initiator", "action": "introduce as separate bill and follow full process", "modality": "shall", "object": "substantive amendments", "conditions": [ "amendments that significantly alter scope, principles, or enforcement mechanisms", "subject to full consultation and parliamentary process" ] }, "applicability": "Substantive amendments as defined in Section 79.4(a).", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.4(a)", "text_snippet": "Substantive amendments that significantly alter the scope, principles, or enforcement mechanisms of the Act shall: (i) Be introduced as separate amendment bills; (ii) Be subject to the full consultation and parliamentary process." } }, { "rule_id": "STD-079-015", "title": "Minor Amendment Expedited Process", "rule_type": "power", "summary": "Minor or technical amendments may be bundled into omnibus bills and subject to expedited process with cross-party consensus.", "core_obligation": { "actor": "Amendment Initiator", "action": "bundle into omnibus bills and use expedited process", "modality": "may", "object": "minor or technical amendments", "conditions": [ "if there is cross-party consensus for expedited process" ] }, "applicability": "Minor or technical amendments as defined in Section 79.4(b).", "severity": "low", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.4(b)", "text_snippet": "Minor or technical amendments may be: (i) Bundled into omnibus amendment bills; (ii) Subject to an expedited process, if there is cross-party consensus." } }, { "rule_id": "STD-079-016", "title": "Emergency Amendment Authority", "rule_type": "power", "summary": "In urgent public interest cases, the Minister may introduce emergency amendments that come into force immediately upon presidential assent but remain in force for no more than 180 days unless ratified by Parliament.", "core_obligation": { "actor": "Minister", "action": "introduce emergency amendments with immediate effect", "modality": "may", "object": "emergency amendments", "conditions": [ "in cases of urgent public interest", "come into force immediately upon presidential assent", "remain in force for no more than 180 days unless ratified by Parliament" ] }, "applicability": "Emergency situations of urgent public interest.", "severity": "critical", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.5(a)", "text_snippet": "In cases of urgent public interest, the Minister may introduce emergency amendments that: (i) Come into force immediately upon presidential assent; (ii) Remain in force for no more than 180 days unless ratified by Parliament." } }, { "rule_id": "STD-079-017", "title": "Emergency Amendment Scope Limitation", "rule_type": "obligation", "summary": "Emergency amendments must be limited to addressing the specific urgent issue.", "core_obligation": { "actor": "Minister", "action": "limit emergency amendments to urgent issue", "modality": "shall", "object": "emergency amendments", "conditions": [ "limited to addressing the specific urgent issue" ] }, "applicability": "All emergency amendments under Section 79.5.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.5(b)(i)", "text_snippet": "Emergency amendments shall: (i) Be limited to addressing the specific urgent issue..." } }, { "rule_id": "STD-079-018", "title": "Emergency Amendment Parliamentary Presentation", "rule_type": "obligation", "summary": "Emergency amendments must be presented to Parliament within 30 days of coming into force.", "core_obligation": { "actor": "Minister", "action": "present emergency amendments to Parliament", "modality": "shall", "object": "emergency amendments", "conditions": [ "within 30 days of coming into force" ] }, "applicability": "All emergency amendments under Section 79.5.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.5(b)(ii)", "text_snippet": "Emergency amendments shall: ... (ii) Be presented to Parliament within 30 days of coming into force..." } }, { "rule_id": "STD-079-019", "title": "Emergency Amendment Ex-Post Review", "rule_type": "obligation", "summary": "Emergency amendments must be subject to ex-post stakeholder consultation and impact assessment.", "core_obligation": { "actor": "Minister", "action": "conduct ex-post stakeholder consultation and impact assessment", "modality": "shall", "object": "emergency amendments", "conditions": [ "after coming into force" ] }, "applicability": "All emergency amendments under Section 79.5.", "severity": "medium", "category": "Consultation and Transparency", "source_ref": { "page": 77, "clause": "Section 79.5(b)(iii)", "text_snippet": "Emergency amendments shall: ... (iii) Be subject to ex-post stakeholder consultation and impact assessment." } }, { "rule_id": "STD-079-020", "title": "Consequential Amendments Schedule", "rule_type": "obligation", "summary": "Where amendments necessitate changes to other legislation, the amendment bill must include a schedule of all consequential amendments and provide for transitional arrangements.", "core_obligation": { "actor": "Amendment Initiator", "action": "include schedule of consequential amendments and transitional arrangements", "modality": "shall", "object": "amendment bill with consequential impacts", "conditions": [ "where amendments necessitate changes to other legislation" ] }, "applicability": "Amendment bills requiring consequential changes to other legislation.", "severity": "high", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.6(a)", "text_snippet": "Where amendments to this Act necessitate changes to other legislation, the amendment bill shall: (i) Include a schedule of all consequential amendments required; and (ii) Provide for transitional arrangements where necessary." } }, { "rule_id": "STD-079-021", "title": "Inter-Ministerial Coordination for Consequential Amendments", "rule_type": "obligation", "summary": "The Minister must coordinate with other relevant ministries to ensure consistency across affected legislation.", "core_obligation": { "actor": "Minister", "action": "coordinate with other ministries", "modality": "shall", "object": "consistency across affected legislation", "conditions": [ "for amendments with consequential impacts on other legislation" ] }, "applicability": "Amendment bills requiring consequential changes to other legislation.", "severity": "medium", "category": "Legislative Process", "source_ref": { "page": 77, "clause": "Section 79.6(b)", "text_snippet": "The Minister shall coordinate with other relevant ministries to ensure consistency across affected legislation." } }, { "rule_id": "STD-079-022", "title": "Post-Amendment Implementation Review", "rule_type": "obligation", "summary": "The Competent Authority must review the implementation of significant amendments after 12 months and report to Parliament on effectiveness.", "core_obligation": { "actor": "Competent Authority", "action": "review implementation and report to Parliament", "modality": "shall", "object": "significant amendments", "conditions": [ "after 12 months", "report on effectiveness", "recommend further adjustments if needed" ] }, "applicability": "All significant amendments to the Act.", "severity": "medium", "category": "Monitoring and Evaluation", "source_ref": { "page": 77, "clause": "Section 79.7(a)", "text_snippet": "The Competent Authority shall: (i) Review the implementation of significant amendments after 12 months; (ii) Report to Parliament on the effectiveness of the amendments; (iii) Recommend any further adjustments needed." } }, { "rule_id": "STD-079-023", "title": "Post-Amendment Review Assessment Criteria", "rule_type": "obligation", "summary": "Post-amendment reviews must assess whether amendments achieved intended objectives, identify unintended consequences, and evaluate compliance and enforcement effectiveness.", "core_obligation": { "actor": "Competent Authority", "action": "assess amendments against specified criteria", "modality": "shall", "object": "post-amendment review", "conditions": [ "assess achievement of objectives", "identify unintended consequences or implementation challenges", "evaluate compliance and enforcement effectiveness" ] }, "applicability": "All post-amendment reviews under Section 79.7.", "severity": "medium", "category": "Monitoring and Evaluation", "source_ref": { "page": 77, "clause": "Section 79.7(b)", "text_snippet": "This review shall assess: (i) Whether the amendments have achieved their intended objectives; (ii) Any unintended consequences or implementation challenges; (iii) The level of compliance and enforcement effectiveness." } }, { "rule_id": "STD-2024-001", "title": "Mandatory Goal Hierarchy in Case of Conflict", "rule_type": "obligation", "summary": "When goals of the Act conflict, a prescribed hierarchy must be applied: (a) protection of public health and safety, (b) environmental protection, (c) economic development, (d) technological innovation.", "core_obligation": { "actor": "All persons applying this Act", "action": "apply the prescribed goal hierarchy", "modality": "shall", "object": "hierarchy of goals", "conditions": [ "where there is conflict between the goals of this Act" ] }, "applicability": "All actors and decision-makers applying this Act when conflicts between goals arise.", "severity": "high", "category": "Interpretation and Governance", "source_ref": { "page": 4, "clause": "Section 1.1", "text_snippet": "Where there is conflict between the goals of this Act, the following hierarchy shall apply..." } }, { "rule_id": "STD-2024-001", "title": "Purposive Interpretation Principle", "rule_type": "obligation", "summary": "This Act must be interpreted in a manner that ensures attainment of its goals and subgoals while respecting the rule of law, human rights protection, and other specified values and principles.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "interpret the Act", "modality": "shall", "object": "this Act", "conditions": [ "in a manner that best ensures attainment of its goals and subgoals", "whilst respecting the principle of rule of law", "whilst respecting the protection of human rights", "whilst respecting other specified values and principles" ] }, "applicability": "All persons, entities, courts, and regulators interpreting or applying this Act.", "severity": "high", "category": "Legal Interpretation", "source_ref": { "page": 4, "clause": "Section 2.1", "text_snippet": "This Act shall be interpreted in a manner that best ensures the attainment of its goals and the goals' subgoals whilst respecting the following values and principles: the principle of rule of law; the protection of human rights; …" } }, { "rule_id": "STD-2024-001", "title": "General Proportionality Requirement", "rule_type": "obligation", "summary": "All measures taken and interpretations chosen under this Act must be proportionate to the objectives pursued.", "core_obligation": { "actor": "All persons taking measures or making interpretations under this Act", "action": "ensure proportionality to objectives", "modality": "must", "object": "all measures and interpretations", "conditions": [ "proportionate to the objectives pursued" ] }, "applicability": "Universal - applies to all measures and interpretations under the Act", "severity": "high", "category": "Fundamental Principle", "source_ref": { "page": 5, "clause": "Section 4.1", "text_snippet": "All measures taken and interpretations chosen under this Act must be proportionate to the objectives pursued." } }, { "rule_id": "STD-2024-001", "title": "Legal Fiction Status of Definitions", "rule_type": "obligation", "summary": "Definitions provided in Section [X] must be construed as legal fictions for purposes of this Act.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "construe definitions as legal fictions", "modality": "shall", "object": "definitions in Section [X]", "conditions": [ "for the purposes of this Act" ] }, "applicability": "All persons and entities subject to or interpreting this Act.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 5, "clause": "Section 5.1", "text_snippet": "The definitions provided in Section [X] of this Act shall be construed as legal fictions for the purposes of this Act." } }, { "rule_id": "STD-2024-001", "title": "Ministerial Power to Amend Definitions and Legal Fictions", "rule_type": "power", "summary": "The relevant Minister may amend definitions, introduce new definitions, exclude categories from definitions, and amend legal fictions through regulation.", "core_obligation": { "actor": "relevant Minister", "action": "amend definitions and legal fictions", "modality": "may", "object": "definitions in Section [X] and legal fictions in Section 6", "conditions": [ "by [type of regulation]", "subject to procedural requirements in subsections 7.2 and 7.3" ] }, "applicability": "The relevant Minister when exercising delegated legislative power under this Act.", "severity": "high", "category": "Delegated Powers", "source_ref": { "page": 6, "clause": "Section 7.1", "text_snippet": "The [relevant Minister] may, by [type of regulation]: (a) Amend the definitions provided in Section [X]..." } }, { "rule_id": "STD-2024-001", "title": "Application to Natural Persons - Citizens and Residents", "rule_type": "definition", "summary": "This Act applies to all citizens of State X regardless of location, permanent residents, stateless persons with habitual residence in State X, and persons temporarily present in State X.", "core_obligation": { "actor": "Natural persons (citizens, permanent residents, stateless persons with habitual residence, temporarily present persons)", "action": "are subject to this Act", "modality": "applies to", "object": "all provisions of this Act", "conditions": [ "Citizens of State X (regardless of location)", "Permanent residents of State X", "Stateless persons with habitual residence in State X", "Persons temporarily present in State X" ] }, "applicability": "All natural persons meeting the specified criteria in subsection 12.1(a)", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 12.1(a)", "text_snippet": "This Act applies to: (a) All natural persons who are: (i) Citizens of [State X], regardless of their location; (ii) Permanent residents of [State X]; (iii) Stateless and have their habitual residence in [State X]; (iv) Temporarily present in [State X]" } }, { "rule_id": "STD-2024-001", "title": "Definitional Framework and Interpretation", "rule_type": "definition", "summary": "Establishes binding definitions for key terms used throughout the Act, which must be applied unless context requires otherwise.", "core_obligation": { "actor": "All persons interpreting or applying this Act", "action": "interpret terms according to prescribed definitions", "modality": "means", "object": "statutory terms and phrases", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of the Act and regulations made under it.", "severity": "high", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1", "text_snippet": "In this Act, unless the context otherwise requires..." } }, { "rule_id": "STD-2024-001", "title": "License Application Submission Requirements", "rule_type": "obligation", "summary": "Applicants must submit license applications to the Competent Authority in prescribed form with all required documentation including personal details, corporate documents, business plans, and impact assessments.", "core_obligation": { "actor": "Applicant", "action": "submit application with prescribed information and documents", "modality": "shall", "object": "license application", "conditions": [ "in prescribed form", "to the Competent Authority", "including items (a) through (j) as specified" ] }, "applicability": "All persons or entities applying for a license under this Act.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.1", "text_snippet": "An application for a license shall be made to the Competent Authority in the prescribed form and shall include..." } }, { "rule_id": "STD-2024-001", "title": "Written Decision Notification Requirement", "rule_type": "obligation", "summary": "The Competent Authority must inform applicants of license application decisions in writing.", "core_obligation": { "actor": "Competent Authority", "action": "inform the applicant of its decision", "modality": "shall", "object": "decision on license application", "conditions": [ "in writing" ] }, "applicability": "All license applications processed by the Competent Authority.", "severity": "medium", "category": "Administrative Procedure", "source_ref": { "page": 15, "clause": "Section 25.1(a)", "text_snippet": "The Competent Authority shall inform the applicant of its decision in writing" } }, { "rule_id": "STD-2024-001", "title": "Discretionary License Modification Power", "rule_type": "power", "summary": "The Competent Authority may modify a license at any time under specified circumstances including legislative changes, environmental harm prevention, or public interest.", "core_obligation": { "actor": "Competent Authority", "action": "modify a license", "modality": "may", "object": "license", "conditions": [ "change in legislation or regulations", "necessary to prevent or mitigate environmental harm", "in the public interest" ] }, "applicability": "All licenses issued under this Act", "severity": "high", "category": "Regulatory Powers", "source_ref": { "page": 16, "clause": "Section 27.1(a)", "text_snippet": "The Competent Authority may modify a license at any time if..." } }, { "rule_id": "STD-2024-001", "title": "Ministerial Power to Prescribe Fees", "rule_type": "power", "summary": "The Minister may prescribe fees by regulation for license applications, issuance, renewal, modification, late renewal, and replacement of documents.", "core_obligation": { "actor": "Minister", "action": "prescribe fees by regulation", "modality": "may", "object": "fees for license applications, issuance, renewal, modification, late renewal, and replacement documents", "conditions": [] }, "applicability": "Minister with regulatory authority over licensing fees.", "severity": "medium", "category": "Fee Structure", "source_ref": { "page": 18, "clause": "28a.1(a)", "text_snippet": "The Minister may, by regulation, prescribe fees for: (i) License applications; (ii) License issuance and renewal..." } }, { "rule_id": "STD-2024-001", "title": "License Application Requirement for Existing Operators", "rule_type": "obligation", "summary": "Any person engaged in regulated activity at the commencement of this Act must apply for a license within a specified timeframe.", "core_obligation": { "actor": "Any person engaged in regulated activity", "action": "apply for a license", "modality": "shall", "object": "license application", "conditions": [ "within [X] months of Act commencement", "person must be engaged in regulated activity at commencement" ] }, "applicability": "All persons engaged in regulated activity at the time of Act commencement", "severity": "high", "category": "Licensing", "source_ref": { "page": 19, "clause": "Section 28b.1(a)", "text_snippet": "Any person engaged in [regulated activity] at the commencement of this Act shall apply for a license within [X] months of such commencement" } }, { "rule_id": "STD-2024-001", "title": "CAB Compliance with Designation Terms", "rule_type": "obligation", "summary": "Designated CABs must conduct conformity assessment activities in accordance with the Act, regulations, and designation terms.", "core_obligation": { "actor": "Designated CAB", "action": "conduct conformity assessment activities", "modality": "shall", "object": "conformity assessment activities", "conditions": [ "in accordance with this Act", "in accordance with regulations", "in accordance with terms of designation" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Compliance", "source_ref": { "page": 21, "clause": "Section 30.1(a)", "text_snippet": "Conduct conformity assessment activities in accordance with this Act, regulations, and the terms of its designation" } }, { "rule_id": "STD-2024-001", "title": "Ongoing Monitoring of CABs", "rule_type": "obligation", "summary": "The Competent Authority must continuously monitor designated Conformity Assessment Bodies to ensure compliance with the Act.", "core_obligation": { "actor": "Competent Authority", "action": "monitor activities of designated CABs", "modality": "shall", "object": "designated CABs", "conditions": [ "to ensure ongoing compliance with this Act" ] }, "applicability": "Competent Authority overseeing all designated CABs", "severity": "high", "category": "Oversight", "source_ref": { "page": 23, "clause": "Section 32.1(a)", "text_snippet": "The Competent Authority shall monitor the activities of designated CABs to ensure ongoing compliance with this Act" } }, { "rule_id": "STD-2024-001", "title": "Minister's Power to Enter Bilateral Recognition Agreements", "rule_type": "power", "summary": "The Minister has the authority to enter into bilateral agreements with other countries for mutual recognition of approvals and certificates.", "core_obligation": { "actor": "Minister", "action": "enter into bilateral agreements", "modality": "may", "object": "bilateral agreements with other countries", "conditions": [ "for mutual recognition of approvals and certificates" ] }, "applicability": "Minister when establishing international recognition frameworks.", "severity": "high", "category": "International Cooperation", "source_ref": { "page": 28, "clause": "Section 40.1(a)", "text_snippet": "The Minister may enter into bilateral agreements with other countries for the mutual recognition of approvals and certificates" } }, { "rule_id": "STD-2024-001", "title": "Data Protection Law Compliance", "rule_type": "obligation", "summary": "Providers of digital services and platforms must comply with applicable data protection and privacy laws.", "core_obligation": { "actor": "Providers of digital services and platforms", "action": "comply with data protection and privacy laws", "modality": "shall", "object": "applicable data protection and privacy laws", "conditions": [] }, "applicability": "All providers of digital services and platforms", "severity": "high", "category": "Data Protection", "source_ref": [ { "page": 37, "clause": "Section 52.1(a)", "text_snippet": "Providers of digital services and platforms shall: (a) Comply with applicable data protection and privacy laws", "_origin_rule_id": "STD-2024-001" }, { "page": 26, "clause": "Section 35.2(a)", "text_snippet": "CABs shall comply with applicable data protection laws", "_origin_rule_id": "STD-2024-035.2a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-001", "title": "Tribunal Powers - Civil Court Equivalence", "rule_type": "power", "summary": "The Regulatory Appeals Tribunal shall have the same powers as a civil court for summoning witnesses, requiring document production, receiving affidavit evidence, and issuing commissions.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "exercise civil court powers", "modality": "shall have", "object": "powers for summoning witnesses, document discovery, receiving affidavits, and issuing commissions", "conditions": [] }, "applicability": "Regulatory Appeals Tribunal in all appeal proceedings", "severity": "medium", "category": "Procedural Powers", "source_ref": { "page": 64, "clause": "Section 71.5(b)", "text_snippet": "The Tribunal shall have the same powers as a civil court in respect of: (i) Summoning and enforcing attendance of witnesses; (ii) Requiring the discovery and production of documents..." } }, { "rule_id": "STD-2024-001", "title": "Purpose and Objectives of Civil Penalties", "rule_type": "definition", "summary": "Civil penalties serve five core purposes: deterring non-compliance, providing proportionate responses to violations, promoting swift resolution, recovering economic benefits from non-compliance, and compensating for harm to public interests.", "core_obligation": { "actor": "Regulatory Authority", "action": "apply civil penalties in accordance with stated purposes", "modality": "implicit normative framework", "object": "civil penalty regime", "conditions": [ "to deter non-compliance", "to provide proportionate response to violations not warranting criminal prosecution", "to promote swift resolution of breaches", "to recover economic benefits from non-compliance", "to compensate for harm to public interests" ] }, "applicability": "All civil/administrative penalty proceedings under this regulatory framework.", "severity": "medium", "category": "Definitions and Framework", "source_ref": { "page": 84, "clause": "Section 1.1", "text_snippet": "Civil penalties serve to: (i) Deter non-compliance... (v) Compensate for harm caused to public interests." } }, { "rule_id": "STD-2024-001", "title": "Fixed Monetary Penalties", "rule_type": "power", "summary": "Regulatory authority may impose fixed monetary penalties for specific violations.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose fixed monetary penalties", "modality": "may", "object": "fixed penalties for specific violations", "conditions": [] }, "applicability": "All violations subject to civil penalties.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.1(a)", "text_snippet": "Fixed penalties for specific violations" } }, { "rule_id": "STD-2024-002", "title": "Discretionary Power to Deviate from Goal Hierarchy", "rule_type": "power", "summary": "The Competent Authority may prioritize a lower-ranked goal over a higher-ranked goal when pursuing the higher goal would cause disproportionate harm, subject to careful consideration, justification, and judicial control.", "core_obligation": { "actor": "Competent Authority", "action": "prioritise lower-ranked goal", "modality": "may", "object": "goal hierarchy", "conditions": [ "where pursuit of higher-ranked goal would result in disproportionate harm", "after careful consideration and justification", "subject to judicial control" ] }, "applicability": "Competent Authority in specific instances where strict application of hierarchy would cause disproportionate harm.", "severity": "high", "category": "Interpretation and Governance", "source_ref": { "page": 4, "clause": "Section 1.2", "text_snippet": "Notwithstanding subsection 1.1, where the pursuit of a higher-ranked goal would result in disproportionate harm..." } }, { "rule_id": "STD-2024-002", "title": "Ambiguity Resolution Rule", "rule_type": "obligation", "summary": "When ambiguity exists in interpreting this Act, the interpretation that best advances the goals and purposes of the Act must be preferred.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "prefer the interpretation that best advances goals/purposes", "modality": "shall", "object": "interpretation of ambiguous provisions", "conditions": [ "in case of ambiguity" ] }, "applicability": "All persons, entities, courts, and regulators when faced with ambiguous provisions in this Act.", "severity": "high", "category": "Legal Interpretation", "source_ref": { "page": 4, "clause": "Section 2.2", "text_snippet": "In case of ambiguity, the interpretation that best advances the goals / purposes of this Act shall be preferred." } }, { "rule_id": "STD-2024-002", "title": "Proportionality Assessment Criteria", "rule_type": "obligation", "summary": "When assessing proportionality, three mandatory factors must be considered: suitability, necessity, and balance of effects.", "core_obligation": { "actor": "Any person assessing proportionality", "action": "consider specified factors", "modality": "shall", "object": "proportionality assessment factors", "conditions": [ "suitability of measure to achieve objective", "necessity of measure and less restrictive alternatives", "balance between benefits and adverse effects on rights" ] }, "applicability": "All proportionality assessments under the Act", "severity": "high", "category": "Assessment Procedure", "source_ref": { "page": 5, "clause": "Section 4.2", "text_snippet": "In assessing proportionality, the following factors shall be considered: (a) The suitability of the measure... (b) The necessity of the measure... (c) The balance between the benefits..." } }, { "rule_id": "STD-2024-002", "title": "Grammatical Forms of Defined Terms", "rule_type": "obligation", "summary": "Other grammatical forms of defined terms shall have corresponding meanings.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "apply corresponding meanings to grammatical variations", "modality": "shall", "object": "grammatical forms of defined terms", "conditions": [ "where a term is defined in this Act" ] }, "applicability": "All persons and entities interpreting defined terms in this Act.", "severity": "low", "category": "Interpretation", "source_ref": { "page": 5, "clause": "Section 5.2", "text_snippet": "Where a term is defined in this Act, other grammatical forms of the same word shall have corresponding meanings." } }, { "rule_id": "STD-2024-002", "title": "Purpose Limitation for Ministerial Amendments", "rule_type": "obligation", "summary": "The Minister must exercise amendment powers only for specified purposes: adapting to technological/market developments, ensuring effective implementation, or avoiding disproportionate application.", "core_obligation": { "actor": "relevant Minister", "action": "act only for specified purposes", "modality": "shall", "object": "power under subsection 7.1", "conditions": [ "adapting definitions or legal fictions to technological or market developments", "ensuring effective implementation of this Act", "avoiding disproportionate application to certain categories" ] }, "applicability": "The relevant Minister when exercising powers under subsection 7.1.", "severity": "critical", "category": "Procedural Compliance", "source_ref": { "page": 6, "clause": "Section 7.2(a)", "text_snippet": "In exercising the power under subsection 7.1, the [relevant Minister] shall: (a) Act only for the purpose of..." } }, { "rule_id": "STD-2024-002", "title": "Application to Legal Persons", "rule_type": "definition", "summary": "This Act applies to all legal persons incorporated or registered in State X, having their principal place of business in State X, or controlled by persons of State X.", "core_obligation": { "actor": "Legal persons", "action": "are subject to this Act", "modality": "applies to", "object": "all provisions of this Act", "conditions": [ "Incorporated or registered in State X", "Having principal place of business in State X", "Controlled by natural or legal persons of State X" ] }, "applicability": "All legal persons meeting any of the criteria in subsection 12.1(b)", "severity": "high", "category": "Jurisdictional Scope", "source_ref": [ { "page": 8, "clause": "Section 12.1(b)", "text_snippet": "(b) All legal persons: (i) Incorporated or registered in [State X]; (ii) Having their principal place of business in [State X]; (iii) Controlled by natural or legal persons of [State X]", "_origin_rule_id": "STD-2024-002" }, { "page": 9, "clause": "Section 12.1(b)", "text_snippet": "All legal persons: (i) Incorporated or registered in [State X]; (ii) Having their principal place of business... (iii) Engaged in activities covered...", "_origin_rule_id": "STD-2024-012.1b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-002", "title": "Definition of Competent Authority", "rule_type": "definition", "summary": "Defines the Competent Authority as the specific named authority established under a designated section of the Act.", "core_obligation": { "actor": "All persons subject to the Act", "action": "recognize and interact with the designated authority", "modality": "means", "object": "Competent Authority", "conditions": [ "as established under Section [X] of this Act" ] }, "applicability": "All references to 'Competent Authority' throughout the Act.", "severity": "high", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1 - Competent Authority", "text_snippet": "'Competent Authority' means [name of the authority] established under Section [X] of this Act." } }, { "rule_id": "STD-2024-002", "title": "Application Fee Payment Requirement", "rule_type": "obligation", "summary": "Each license application must be accompanied by the prescribed application fee.", "core_obligation": { "actor": "Applicant", "action": "pay prescribed fee", "modality": "shall", "object": "application fee", "conditions": [ "with each application" ] }, "applicability": "All applicants submitting license applications.", "severity": "high", "category": "Licensing", "source_ref": [ { "page": 14, "clause": "Section 24.2(a)", "text_snippet": "Each application shall be accompanied by the prescribed fee", "_origin_rule_id": "STD-2024-002" }, { "page": 28, "clause": "Section 40.3(c)", "text_snippet": "The application shall be accompanied by the prescribed fee", "_origin_rule_id": "STD-2024-007" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-002", "title": "License Issuance Upon Payment", "rule_type": "obligation", "summary": "Approved licenses shall be issued upon payment of the prescribed license fee.", "core_obligation": { "actor": "Competent Authority", "action": "issue the license", "modality": "shall", "object": "license", "conditions": [ "application is approved", "upon payment of the prescribed license fee" ] }, "applicability": "All approved license applications.", "severity": "medium", "category": "Administrative Procedure", "source_ref": { "page": 15, "clause": "Section 25.1(b)", "text_snippet": "If the application is approved, the license shall be issued upon payment of the prescribed license fee" } }, { "rule_id": "STD-2024-002", "title": "Modification Notice Requirement", "rule_type": "obligation", "summary": "The Competent Authority must provide written notice to the licensee of any proposed modification along with the reasons for it.", "core_obligation": { "actor": "Competent Authority", "action": "give written notice", "modality": "shall", "object": "proposed modification and reasons", "conditions": [ "before implementing modification" ] }, "applicability": "All license modifications initiated by Competent Authority", "severity": "high", "category": "Procedural Fairness", "source_ref": { "page": 16, "clause": "Section 27.1(b)", "text_snippet": "The Competent Authority shall give the licensee written notice of the proposed modification and reasons for it" } }, { "rule_id": "STD-2024-002", "title": "Differential Fee Structure", "rule_type": "power", "summary": "Different fees may be prescribed for different types or classes of licenses.", "core_obligation": { "actor": "Minister", "action": "prescribe different fees", "modality": "may", "object": "fees for different types or classes of licenses", "conditions": [] }, "applicability": "Applies to fee-setting for various license categories.", "severity": "low", "category": "Fee Structure", "source_ref": { "page": 18, "clause": "28a.1(b)", "text_snippet": "Different fees may be prescribed for different types or classes of licenses" } }, { "rule_id": "STD-2024-002", "title": "Continuation of Operations Pending License Determination", "rule_type": "power", "summary": "Existing operators may continue operations while their license application is being processed.", "core_obligation": { "actor": "Existing operator who has applied for license", "action": "continue to operate", "modality": "may", "object": "regulated activities", "conditions": [ "pending the determination of their license application", "must have submitted license application" ] }, "applicability": "Existing operators who have applied for a license under the new Act", "severity": "medium", "category": "Licensing", "source_ref": { "page": 19, "clause": "Section 28b.1(b)", "text_snippet": "Such person may continue to operate pending the determination of their license application" } }, { "rule_id": "STD-2024-002", "title": "Continuous Compliance with Designation Criteria", "rule_type": "obligation", "summary": "CABs must maintain compliance with designation criteria at all times.", "core_obligation": { "actor": "Designated CAB", "action": "maintain compliance", "modality": "shall", "object": "criteria for designation", "conditions": [ "at all times" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Compliance", "source_ref": { "page": 21, "clause": "Section 30.1(b)", "text_snippet": "Maintain its compliance with the criteria for designation at all times" } }, { "rule_id": "STD-2024-002", "title": "Monitoring Methods", "rule_type": "power", "summary": "The Competent Authority may use various methods including on-site assessments, witness audits, record reviews, complaint investigations, and mystery shopping.", "core_obligation": { "actor": "Competent Authority", "action": "conduct monitoring activities", "modality": "may", "object": "CABs", "conditions": [ "using specified methods: on-site assessments, witness audits, review of reports/records, complaint investigations, mystery shopping" ] }, "applicability": "Competent Authority conducting CAB oversight", "severity": "medium", "category": "Oversight", "source_ref": { "page": 23, "clause": "Section 32.1(b)", "text_snippet": "Monitoring activities may include: (i) Periodic on-site assessments; (ii) Witness audits; (iii) Review of CAB reports and records; (iv) Investigation of complaints; and (v) Mystery shopping or undercover assessments" } }, { "rule_id": "STD-2024-002", "title": "Mandatory Content of Bilateral Recognition Agreements", "rule_type": "obligation", "summary": "Bilateral recognition agreements must specify six key elements including types of approvals covered, conditions, procedures, dispute resolution, review procedures, and termination provisions.", "core_obligation": { "actor": "Minister", "action": "specify required elements in agreements", "modality": "shall", "object": "bilateral agreements", "conditions": [ "must specify types of approvals and certificates covered", "must specify conditions for recognition", "must specify procedures for information exchange and cooperation", "must specify dispute resolution mechanisms", "must specify procedures for regular review and update", "must specify provisions for termination or suspension" ] }, "applicability": "All bilateral recognition agreements entered into by the Minister.", "severity": "high", "category": "International Cooperation", "source_ref": { "page": 28, "clause": "Section 40.1(b)", "text_snippet": "Such agreements shall specify: (i) The types of approvals and certificates covered; (ii) The conditions for recognition..." } }, { "rule_id": "STD-2024-002", "title": "Personal Data Security Measures", "rule_type": "obligation", "summary": "Providers must implement appropriate technical and organisational measures to ensure the security of personal data.", "core_obligation": { "actor": "Providers of digital services and platforms", "action": "implement technical and organisational measures", "modality": "shall", "object": "security measures for personal data", "conditions": [ "measures must be appropriate", "must ensure security of personal data" ] }, "applicability": "All providers of digital services and platforms handling personal data", "severity": "high", "category": "Data Protection", "source_ref": { "page": 37, "clause": "Section 52.1(b)", "text_snippet": "Implement appropriate technical and organisational measures to ensure the security of personal data" } }, { "rule_id": "STD-2024-002", "title": "Appeal Filing Deadline", "rule_type": "obligation", "summary": "Appeals must be filed within 30 days of the decision being appealed, unless the Tribunal grants an extension for good cause.", "core_obligation": { "actor": "Appellant", "action": "file appeal", "modality": "must", "object": "appeal documentation", "conditions": [ "within 30 days of the decision being appealed", "unless extension granted for good cause" ] }, "applicability": "All parties seeking to appeal decisions to the Regulatory Appeals Tribunal", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 64, "clause": "Section 71.5(a)", "text_snippet": "An appeal must be filed within [30] days of the decision being appealed, unless the Tribunal grants an extension for good cause.", "_origin_rule_id": "STD-2024-002" }, { "page": 64, "clause": "Section 71.5(a)", "text_snippet": "An appeal must be filed within [30] days of the decision being appealed, unless the Tribunal grants an extension for good cause.", "_origin_rule_id": "STD-2024-071.5a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-002", "title": "Proportionality Principle for Civil Penalties", "rule_type": "obligation", "summary": "Penalties must be commensurate with the nature and severity of the violation.", "core_obligation": { "actor": "Regulatory Authority", "action": "ensure penalties are proportionate", "modality": "should", "object": "civil penalties", "conditions": [ "commensurate with nature of violation", "commensurate with severity of violation" ] }, "applicability": "All penalty determinations by regulatory authorities.", "severity": "high", "category": "Penalty Assessment Principles", "source_ref": { "page": 84, "clause": "Section 1.2(a)", "text_snippet": "Proportionality: Penalties should be commensurate with the nature and severity of the violation" } }, { "rule_id": "STD-2024-002", "title": "Variable Monetary Penalties Based on Turnover", "rule_type": "power", "summary": "Regulatory authority may impose variable monetary penalties calculated as a percentage of the violator's annual turnover.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose variable monetary penalties", "modality": "may", "object": "penalties based on percentage of annual turnover", "conditions": [ "calculated as percentage of violator's annual turnover" ] }, "applicability": "All violations subject to civil penalties where turnover-based calculation is appropriate.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.1(b)(i)", "text_snippet": "A percentage of the violator's annual turnover" } }, { "rule_id": "STD-2024-003", "title": "Determination Process for Unranked Goal Conflicts", "rule_type": "obligation", "summary": "In conflicts between goals not explicitly ranked, the Competent Authority must make determinations based on five specified factors: public welfare impact, urgency, long-term consequences, reversibility, and proportionality.", "core_obligation": { "actor": "Competent Authority", "action": "make determination based on specified factors", "modality": "shall", "object": "conflict resolution between unranked goals", "conditions": [ "in cases of conflict between goals not explicitly ranked in subsection 1.1", "based on: (a) potential impact on public welfare, (b) urgency, (c) long-term consequences, (d) reversibility, (e) proportionality principle" ] }, "applicability": "Competent Authority when resolving conflicts between goals not covered by the explicit hierarchy in section 1.1.", "severity": "medium", "category": "Interpretation and Governance", "source_ref": { "page": 4, "clause": "Section 1.3", "text_snippet": "In cases of conflict between goals not explicitly ranked in subsection 1.1, the Competent Authority shall make a determination..." } }, { "rule_id": "STD-2024-003", "title": "Individual Financial Burden Limit - Income-Based", "rule_type": "constraint", "summary": "Natural persons cannot be required to spend more than a specified percentage of annual income on compliance measures, unless their net worth exceeds a threshold.", "core_obligation": { "actor": "Any person imposing compliance measures", "action": "limit financial requirements on individuals", "modality": "shall not require", "object": "compliance expenditure by natural persons", "conditions": [ "not more than [X]% of annual income", "exception: net worth exceeds [Y]" ] }, "applicability": "All compliance measures imposing financial burdens on natural persons", "severity": "critical", "category": "Individual Rights Protection", "source_ref": { "page": 5, "clause": "Section 4.3(a)(i)", "text_snippet": "No natural person shall be required to spend more than [X]% of their annual income on compliance measures, unless their net worth exceeds [Y]." } }, { "rule_id": "STD-2024-003", "title": "Singular and Plural Interpretation", "rule_type": "definition", "summary": "Words in the singular include the plural and vice versa unless context requires otherwise.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "interpret singular to include plural and vice versa", "modality": "include", "object": "words in singular and plural forms", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act.", "severity": "low", "category": "Interpretation", "source_ref": { "page": 5, "clause": "Section 5.3(a)", "text_snippet": "Words in the singular include the plural and vice versa." } }, { "rule_id": "STD-2024-003", "title": "Mandatory Consultation Requirements", "rule_type": "obligation", "summary": "The Minister must consult with the Competent Authority, relevant stakeholders, and the relevant parliamentary committee before amending definitions or legal fictions.", "core_obligation": { "actor": "relevant Minister", "action": "consult with specified parties", "modality": "shall", "object": "proposed amendments to definitions or legal fictions", "conditions": [ "consult with the Competent Authority", "consult with relevant stakeholders", "consult with the relevant parliamentary committee" ] }, "applicability": "The relevant Minister when exercising powers under subsection 7.1.", "severity": "high", "category": "Procedural Compliance", "source_ref": { "page": 6, "clause": "Section 7.2(b)", "text_snippet": "Consult with: (i) The Competent Authority; (ii) Relevant stakeholders; and (iii) The [relevant parliamentary committee]." } }, { "rule_id": "STD-2024-003", "title": "Application to Public Entities", "rule_type": "definition", "summary": "This Act applies to all public entities of State X, including government ministries, departments, statutory bodies, and state-owned enterprises.", "core_obligation": { "actor": "Public entities of State X", "action": "are subject to this Act", "modality": "applies to", "object": "all provisions of this Act", "conditions": [ "Government ministries and departments", "Statutory bodies", "State-owned enterprises" ] }, "applicability": "All public entities of State X as defined in subsection 12.1(c)", "severity": "high", "category": "Jurisdictional Scope", "source_ref": [ { "page": 8, "clause": "Section 12.1(c)", "text_snippet": "(c) All public entities of [State X], including: (i) Government ministries and departments; (ii) Statutory bodies; (iii) State-owned enterprises", "_origin_rule_id": "STD-2024-003" }, { "page": 9, "clause": "Section 12.1(c)", "text_snippet": "All public entities operating within the territory of [State X]", "_origin_rule_id": "STD-2024-012.1c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-003", "title": "Definition of License", "rule_type": "definition", "summary": "Defines License broadly to include any authorisation, permit, or approval issued under the Act.", "core_obligation": { "actor": "All persons subject to the Act", "action": "treat authorisations, permits, and approvals as licenses", "modality": "means", "object": "License", "conditions": [ "issued under this Act" ] }, "applicability": "All licensing provisions and requirements under the Act.", "severity": "high", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1 - License", "text_snippet": "'License' means an authorisation, permit, or approval issued under this Act." } }, { "rule_id": "STD-2024-003", "title": "Non-Refundability of Application Fee", "rule_type": "obligation", "summary": "Application fees are non-refundable regardless of application outcome, unless the negative outcome is exclusively the Competent Authority's responsibility.", "core_obligation": { "actor": "Competent Authority", "action": "retain application fee", "modality": "shall be", "object": "application fee", "conditions": [ "regardless of application outcome", "except when negative outcome is exclusively Competent Authority's responsibility" ] }, "applicability": "All license applications with paid fees.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.2(b)", "text_snippet": "The fee shall be non-refundable, regardless of the outcome of the application[, unless the negative outcome of the application is a matter of responsibility of the Competent Authority exclusively]" } }, { "rule_id": "STD-2024-003", "title": "Rejection Reasoning Requirement", "rule_type": "obligation", "summary": "The Competent Authority must provide reasons when rejecting a license application.", "core_obligation": { "actor": "Competent Authority", "action": "provide reasons for the rejection", "modality": "shall", "object": "reasons for rejection", "conditions": [ "if the application is rejected" ] }, "applicability": "All rejected license applications.", "severity": "medium", "category": "Administrative Procedure", "source_ref": [ { "page": 15, "clause": "Section 25.1(c)", "text_snippet": "If the application is rejected, the Competent Authority shall provide reasons for the rejection", "_origin_rule_id": "STD-2024-003" }, { "page": 19, "clause": "Section 29.6(c)", "text_snippet": "If the application is rejected, the Competent Authority shall provide reasons for the rejection", "_origin_rule_id": "STD-2024-029.6-C" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-003", "title": "Licensee Representation Period for Modifications", "rule_type": "obligation", "summary": "The licensee must be given [X] days to make representations regarding a proposed license modification.", "core_obligation": { "actor": "Licensee", "action": "make representations", "modality": "shall have [X] days", "object": "representations regarding proposed modification", "conditions": [ "within [X] days of notice" ] }, "applicability": "All licensees receiving modification notices", "severity": "medium", "category": "Procedural Rights", "source_ref": { "page": 16, "clause": "Section 27.1(c)", "text_snippet": "The licensee shall have [X] days to make representations regarding the proposed modification" } }, { "rule_id": "STD-2024-003", "title": "Annual Fee Review and Adjustment", "rule_type": "obligation", "summary": "Fees shall be reviewed annually and may be adjusted to reflect changes in administrative costs.", "core_obligation": { "actor": "Competent Authority", "action": "review fees annually", "modality": "shall", "object": "fee structure", "conditions": [ "annually", "may be adjusted to reflect changes in administrative costs" ] }, "applicability": "Competent Authority responsible for fee administration.", "severity": "medium", "category": "Fee Administration", "source_ref": { "page": 18, "clause": "28a.1(c)", "text_snippet": "Fees shall be reviewed annually and may be adjusted to reflect changes in administrative costs." } }, { "rule_id": "STD-2024-003", "title": "Cessation of Operations Upon License Rejection", "rule_type": "obligation", "summary": "Operators whose license applications are rejected must cease operations within a specified period unless an appeal is filed.", "core_obligation": { "actor": "Person whose license application is rejected", "action": "cease operations", "modality": "shall", "object": "all regulated activities", "conditions": [ "within [Y] days of being notified of the rejection", "unless an appeal is filed" ] }, "applicability": "Existing operators whose license applications are rejected", "severity": "critical", "category": "Licensing", "source_ref": { "page": 19, "clause": "Section 28b.1(c)", "text_snippet": "If the license application is rejected, the person shall cease operations within [Y] days of being notified of the rejection, unless an appeal is filed" } }, { "rule_id": "STD-2024-003", "title": "Notification of Changes Affecting Designation", "rule_type": "obligation", "summary": "CABs must inform the Competent Authority of any changes that may affect compliance with designation criteria.", "core_obligation": { "actor": "Designated CAB", "action": "inform the Competent Authority", "modality": "shall", "object": "changes affecting compliance with designation criteria", "conditions": [ "any changes that may affect its compliance with the criteria for designation" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Reporting", "source_ref": { "page": 21, "clause": "Section 30.1(c)", "text_snippet": "Inform the Competent Authority of any changes that may affect its compliance with the criteria for designation" } }, { "rule_id": "STD-2024-003", "title": "Periodic Full Reassessment of CABs", "rule_type": "obligation", "summary": "The Competent Authority must conduct a comprehensive reassessment of each CAB at minimum intervals specified in regulations.", "core_obligation": { "actor": "Competent Authority", "action": "conduct full reassessment", "modality": "shall", "object": "each CAB", "conditions": [ "at least once every [X] years" ] }, "applicability": "All designated CABs", "severity": "high", "category": "Oversight", "source_ref": { "page": 23, "clause": "Section 32.1(c)", "text_snippet": "The Competent Authority shall conduct a full reassessment of each CAB at least once every [X] years" } }, { "rule_id": "STD-2024-003", "title": "Conditions for Unilateral Recognition", "rule_type": "power", "summary": "The Competent Authority may unilaterally recognize foreign approvals and certificates if three conditions are met: public interest, Section 39.1 conditions, and comprehensive risk assessment support.", "core_obligation": { "actor": "Competent Authority", "action": "unilaterally recognise foreign approvals and certificates", "modality": "may", "object": "foreign approvals and certificates", "conditions": [ "it is in the public interest", "conditions in Section 39.1 are met", "comprehensive risk assessment supports the recognition" ] }, "applicability": "Competent Authority when considering unilateral recognition of foreign approvals.", "severity": "high", "category": "Recognition Procedures", "source_ref": { "page": 28, "clause": "Section 40.2(a)", "text_snippet": "The Competent Authority may unilaterally recognise foreign approvals and certificates if: (i) It is in the public interest..." } }, { "rule_id": "STD-2024-003", "title": "User Data Information Disclosure", "rule_type": "obligation", "summary": "Providers must provide users with clear information about how their data is collected, used, and shared.", "core_obligation": { "actor": "Providers of digital services and platforms", "action": "provide information to users", "modality": "shall", "object": "clear information about data collection, use, and sharing", "conditions": [ "information must be clear" ] }, "applicability": "All providers of digital services and platforms collecting user data", "severity": "medium", "category": "Transparency", "source_ref": { "page": 37, "clause": "Section 52.1(c)", "text_snippet": "Provide users with clear information about how their data is collected, used, and shared" } }, { "rule_id": "STD-2024-003", "title": "Appeal Content Requirements", "rule_type": "obligation", "summary": "Appeals shall be filed in writing and must include the grounds for appeal, supporting evidence, and the relief sought.", "core_obligation": { "actor": "Appellant", "action": "file written appeal with required content", "modality": "shall", "object": "written appeal documentation", "conditions": [ "must include grounds for appeal", "must include supporting evidence", "must include relief sought" ] }, "applicability": "All appellants filing appeals with the Regulatory Appeals Tribunal", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 64, "clause": "Section 71.5(b)", "text_snippet": "Appeals shall be filed in writing and include: (i) The grounds for appeal; (ii) Any supporting evidence; (iii) The relief sought.", "_origin_rule_id": "STD-2024-003" }, { "page": 64, "clause": "Section 71.5(b)", "text_snippet": "Appeals shall be filed in writing and include: (i) The grounds for appeal; (ii) Any supporting evidence; (iii) The relief sought.", "_origin_rule_id": "STD-2024-071.5b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-003", "title": "Consistency Principle for Civil Penalties", "rule_type": "obligation", "summary": "Similar violations should attract similar penalties, subject to relevant circumstances.", "core_obligation": { "actor": "Regulatory Authority", "action": "apply consistent penalties", "modality": "should", "object": "penalties for similar violations", "conditions": [ "similar violations should attract similar penalties", "subject to relevant circumstances" ] }, "applicability": "All penalty determinations across different cases and regulated entities.", "severity": "high", "category": "Penalty Assessment Principles", "source_ref": { "page": 84, "clause": "Section 1.2(b)", "text_snippet": "Consistency: Similar violations should attract similar penalties, subject to relevant circumstances" } }, { "rule_id": "STD-2024-003", "title": "Variable Penalties Based on Economic Benefit", "rule_type": "power", "summary": "Regulatory authority may impose variable monetary penalties based on the economic benefit derived from the violation.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose variable monetary penalties", "modality": "may", "object": "penalties based on economic benefit", "conditions": [ "calculated based on economic benefit derived from violation" ] }, "applicability": "Violations where economic benefit can be quantified.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.1(b)(ii)", "text_snippet": "The economic benefit derived from the violation" } }, { "rule_id": "STD-2024-004", "title": "Publication and Annual Update of Goal Hierarchy Guidelines", "rule_type": "obligation", "summary": "The Competent Authority must publish guidelines on applying the goal hierarchy and update them annually based on practical experience and stakeholder feedback.", "core_obligation": { "actor": "Competent Authority", "action": "publish and update guidelines", "modality": "shall", "object": "guidelines detailing application of goal hierarchy", "conditions": [ "updated annually", "based on practical experience and stakeholder feedback" ] }, "applicability": "Competent Authority responsible for transparency and guidance on goal hierarchy application.", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 4, "clause": "Section 1.4", "text_snippet": "The Competent Authority shall publish guidelines detailing the application of this hierarchy, which shall be updated annually..." } }, { "rule_id": "STD-2024-004", "title": "Individual Financial Burden Limit - Basic Necessities", "rule_type": "constraint", "summary": "Natural persons cannot be required to spend on compliance if such expenditure would deprive them of resources needed for basic necessities.", "core_obligation": { "actor": "Any person imposing compliance measures", "action": "prohibit compliance requirements that threaten basic necessities", "modality": "shall not require", "object": "compliance expenditure by natural persons", "conditions": [ "if expenditure would deprive resources for basic necessities" ] }, "applicability": "All compliance measures imposing financial burdens on natural persons", "severity": "critical", "category": "Individual Rights Protection", "source_ref": { "page": 5, "clause": "Section 4.3(a)(ii)", "text_snippet": "No natural person shall be required to spend on compliance measures if such expenditure would deprive them of resources needed for basic necessities." } }, { "rule_id": "STD-2024-004", "title": "Gender-Inclusive Interpretation", "rule_type": "definition", "summary": "Words importing a gender include every other gender unless context requires otherwise.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "interpret gendered words as including all genders", "modality": "include", "object": "words importing a gender", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act.", "severity": "low", "category": "Interpretation", "source_ref": { "page": 5, "clause": "Section 5.3(b)", "text_snippet": "Words importing a gender include every other gender." } }, { "rule_id": "STD-2024-004", "title": "Application to Foreign Persons", "rule_type": "definition", "summary": "This Act applies to foreign natural or legal persons engaging in activities covered by this Act within State X or having effects in State X.", "core_obligation": { "actor": "Foreign natural or legal persons", "action": "are subject to this Act", "modality": "applies to", "object": "activities covered by this Act", "conditions": [ "Engaging in activities within State X", "OR having effects in State X" ] }, "applicability": "Foreign persons whose activities fall within State X jurisdiction or have effects in State X", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 12.1(d)", "text_snippet": "(d) Foreign natural or legal persons engaging in activities covered by this Act within [State X] or having effects in [State X]" } }, { "rule_id": "STD-2024-004", "title": "Definition of Entity", "rule_type": "definition", "summary": "Defines Entity to include all legal persons, both incorporated and unincorporated, excluding natural persons.", "core_obligation": { "actor": "All persons interpreting the Act", "action": "interpret 'Entity' to include all non-natural legal persons", "modality": "means", "object": "Entity", "conditions": [ "including corporations, partnerships, associations, organisations, whether incorporated or unincorporated" ] }, "applicability": "All provisions referring to 'Entity' in the Act.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1 - Entity", "text_snippet": "'Entity' means any legal person, including but not limited to corporations, partnerships, associations, and organisations..." } }, { "rule_id": "STD-2024-004", "title": "Fee Waiver or Reduction Power", "rule_type": "power", "summary": "The Competent Authority has discretion to waive or reduce application fees in cases of demonstrated financial hardship.", "core_obligation": { "actor": "Competent Authority", "action": "waive or reduce fee", "modality": "may", "object": "application fee", "conditions": [ "in cases of demonstrated financial hardship" ] }, "applicability": "Applicants demonstrating financial hardship.", "severity": "low", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.2(c)", "text_snippet": "The Competent Authority may waive or reduce the fee in cases of demonstrated financial hardship" } }, { "rule_id": "STD-2024-004", "title": "Power to Impose License Conditions", "rule_type": "power", "summary": "The Competent Authority has discretionary power to impose various conditions on licenses.", "core_obligation": { "actor": "Competent Authority", "action": "impose conditions on a license", "modality": "may", "object": "license conditions", "conditions": [ "including operational restrictions", "reporting requirements", "environmental protection measures", "safety and security measures" ] }, "applicability": "All licenses issued by the Competent Authority.", "severity": "medium", "category": "Regulatory Power", "source_ref": { "page": 15, "clause": "Section 25.2(a)", "text_snippet": "The Competent Authority may impose conditions on a license, including: (i) Operational restrictions; (ii) Reporting requirements; (iii) Environmental protection measures; (iv) Safety and security measures" } }, { "rule_id": "STD-2024-004", "title": "Licensee-Initiated Modification Request", "rule_type": "power", "summary": "A licensee may apply to the Competent Authority for modification of their license conditions.", "core_obligation": { "actor": "Licensee", "action": "apply for modification", "modality": "may", "object": "license conditions", "conditions": [] }, "applicability": "All licensees", "severity": "low", "category": "Licensee Rights", "source_ref": { "page": 16, "clause": "Section 27.2(a)", "text_snippet": "A licensee may apply for modification of license conditions" } }, { "rule_id": "STD-2024-004", "title": "Annual Fee Report Publication", "rule_type": "obligation", "summary": "The Competent Authority shall publish an annual report detailing the fee structure, rationale for changes, and utilization of fees.", "core_obligation": { "actor": "Competent Authority", "action": "publish annual report", "modality": "shall", "object": "annual report on fee structure, rationale for changes, and fee utilization", "conditions": [ "annually", "detailing fee structure", "rationale for changes", "how fees support regulatory activities" ] }, "applicability": "Competent Authority managing licensing fees.", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 18, "clause": "28a.1(d)", "text_snippet": "The Competent Authority shall publish an annual report detailing the fee structure, the rationale for any changes, and how the fees are utilised to support regulatory activities." } }, { "rule_id": "STD-2024-004", "title": "Competent Authority Support for Transition", "rule_type": "obligation", "summary": "The Competent Authority must provide guidance and support to existing operators to facilitate their transition to the new licensing regime.", "core_obligation": { "actor": "Competent Authority", "action": "provide guidance and support", "modality": "shall", "object": "guidance and support services", "conditions": [ "to existing operators", "to facilitate transition to new licensing regime" ] }, "applicability": "Competent Authority in relation to all existing operators transitioning to new regime", "severity": "medium", "category": "Administrative", "source_ref": { "page": 19, "clause": "Section 28b.1(d)", "text_snippet": "The Competent Authority shall provide guidance and support to existing operators to facilitate their transition to the new licensing regime" } }, { "rule_id": "STD-2024-004", "title": "Cooperation with Competent Authority Oversight", "rule_type": "obligation", "summary": "CABs must cooperate with the Competent Authority in monitoring and oversight activities.", "core_obligation": { "actor": "Designated CAB", "action": "cooperate", "modality": "shall", "object": "monitoring and oversight activities", "conditions": [ "with the Competent Authority" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Compliance", "source_ref": { "page": 21, "clause": "Section 30.1(d)", "text_snippet": "Cooperate with the Competent Authority in its monitoring and oversight activities" } }, { "rule_id": "STD-2024-004", "title": "Risk-Based Monitoring Approach", "rule_type": "obligation", "summary": "The Competent Authority must implement a risk-based methodology to determine monitoring frequency and intensity.", "core_obligation": { "actor": "Competent Authority", "action": "implement risk-based approach", "modality": "shall", "object": "monitoring activities", "conditions": [ "to determine frequency and intensity of monitoring" ] }, "applicability": "Competent Authority's monitoring program", "severity": "high", "category": "Oversight", "source_ref": { "page": 23, "clause": "Section 32.1(d)", "text_snippet": "The Competent Authority shall implement a risk-based approach to determine the frequency and intensity of monitoring activities" } }, { "rule_id": "STD-2024-004", "title": "Pre-Recognition Assessment and Consultation Requirements", "rule_type": "obligation", "summary": "Before granting unilateral recognition, the Competent Authority must conduct a five-step process including regulatory assessment, stakeholder consultation, public notice with 60-day comment period, cost-benefit analysis, and expert consultation.", "core_obligation": { "actor": "Competent Authority", "action": "conduct pre-recognition procedures", "modality": "shall", "object": "assessment and consultation process", "conditions": [ "conduct assessment of foreign regulatory system", "consult relevant stakeholders including industry and consumer groups", "publish notice of intention and consider public comments within 60-day period", "conduct cost-benefit analysis", "seek expert opinions on technical or specialised aspects where necessary" ] }, "applicability": "Competent Authority before granting any unilateral recognition.", "severity": "high", "category": "Recognition Procedures", "source_ref": { "page": 28, "clause": "Section 40.2(b)", "text_snippet": "Before granting unilateral recognition, the Competent Authority shall: (i) Conduct an assessment of the foreign regulatory system..." } }, { "rule_id": "STD-2024-004", "title": "Illegal Content Detection Systems", "rule_type": "obligation", "summary": "Digital platform providers must implement effective systems to detect and remove illegal content.", "core_obligation": { "actor": "Providers of digital platforms", "action": "implement detection and removal systems", "modality": "shall", "object": "systems to detect and remove illegal content", "conditions": [ "systems must be effective" ] }, "applicability": "All providers of digital platforms", "severity": "critical", "category": "Content Moderation", "source_ref": { "page": 37, "clause": "Section 52.2(a)", "text_snippet": "Implement effective systems to detect and remove illegal content" } }, { "rule_id": "STD-2024-004", "title": "Service of Appeals", "rule_type": "obligation", "summary": "Appeals shall be served on the Competent Authority and any other affected parties.", "core_obligation": { "actor": "Appellant", "action": "serve appeal", "modality": "shall", "object": "appeal documentation", "conditions": [ "on the Competent Authority", "on any other affected parties" ] }, "applicability": "All appellants filing appeals with the Regulatory Appeals Tribunal", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 64, "clause": "Section 71.5(c)", "text_snippet": "Appeals shall be served on the Competent Authority and any other affected parties.", "_origin_rule_id": "STD-2024-004" }, { "page": 64, "clause": "Section 71.5(c)", "text_snippet": "Appeals shall be served on the Competent Authority and any other affected parties.", "_origin_rule_id": "STD-2024-071.5c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-004", "title": "Transparency Principle for Penalty Calculation", "rule_type": "obligation", "summary": "The basis for calculating penalties must be clear and publicly available.", "core_obligation": { "actor": "Regulatory Authority", "action": "make penalty calculation basis clear and public", "modality": "should", "object": "penalty calculation methodology", "conditions": [ "basis must be clear", "basis must be publicly available" ] }, "applicability": "All penalty calculation methodologies and frameworks.", "severity": "high", "category": "Transparency and Disclosure", "source_ref": { "page": 84, "clause": "Section 1.2(c)", "text_snippet": "Transparency: The basis for calculating penalties should be clear and publicly available" } }, { "rule_id": "STD-2024-004", "title": "Variable Penalties Based on Duration", "rule_type": "power", "summary": "Regulatory authority may impose variable monetary penalties based on the duration of the violation.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose variable monetary penalties", "modality": "may", "object": "penalties based on violation duration", "conditions": [ "calculated based on duration of violation" ] }, "applicability": "Violations that persist over time.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.1(b)(iii)", "text_snippet": "The duration of the violation" } }, { "rule_id": "STD-2024-005", "title": "Commercial Entity Financial Burden Limit - Value-Based", "rule_type": "constraint", "summary": "Commercial legal persons cannot be required to spend more than a specified multiple of the commercial value of the regulated entity or activity on compliance measures.", "core_obligation": { "actor": "Any person imposing compliance measures", "action": "limit financial requirements on commercial entities", "modality": "shall not require", "object": "compliance expenditure by commercial legal persons", "conditions": [ "not more than [Z] times the commercial value of regulated entity or activity" ] }, "applicability": "All compliance measures imposing financial burdens on commercial legal persons", "severity": "critical", "category": "Economic Viability Protection", "source_ref": { "page": 5, "clause": "Section 4.3(b)(i)", "text_snippet": "No commercial legal person shall be required to spend more than [Z] times the commercial value of the regulated entity or activity on compliance measures." } }, { "rule_id": "STD-2024-005", "title": "Definition of Person", "rule_type": "definition", "summary": "References to a person include both natural and legal persons unless context requires otherwise.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "interpret 'person' to include natural and legal persons", "modality": "include", "object": "references to a person", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act referring to 'person'.", "severity": "medium", "category": "Interpretation", "source_ref": [ { "page": 5, "clause": "Section 5.3(c)", "text_snippet": "References to a person include both natural and legal persons.", "_origin_rule_id": "STD-2024-005" }, { "page": 12, "clause": "Section 20.1 - Person", "text_snippet": "'Person' includes both natural and legal persons.", "_origin_rule_id": "STD-2024-007" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-005", "title": "Justification Requirement for Amendments", "rule_type": "obligation", "summary": "The Minister must provide a detailed justification for any changes made to definitions or legal fictions.", "core_obligation": { "actor": "relevant Minister", "action": "provide detailed justification", "modality": "shall", "object": "any changes made under subsection 7.1", "conditions": [ "justification must be detailed" ] }, "applicability": "The relevant Minister when exercising powers under subsection 7.1.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 6, "clause": "Section 7.2(d)", "text_snippet": "Provide a detailed justification for any changes made." } }, { "rule_id": "STD-2024-005", "title": "Specific Application to Stateless Persons", "rule_type": "definition", "summary": "This Act applies to stateless persons who have habitual residence in State X or who are present in State X at the time of the relevant activity.", "core_obligation": { "actor": "Stateless persons", "action": "are subject to this Act", "modality": "applies to", "object": "all provisions of this Act", "conditions": [ "Have habitual residence in State X", "OR are present in State X at the time of the relevant activity" ] }, "applicability": "Stateless persons meeting the presence or residence criteria", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 12.2", "text_snippet": "This Act applies to stateless persons who have their habitual residence in [State X] or who are present in [State X] at the time of the relevant activity" } }, { "rule_id": "STD-2024-005", "title": "Definition of Public Entity", "rule_type": "definition", "summary": "Defines Public Entity to include government departments, statutory bodies, publicly funded bodies, and government-appointed bodies.", "core_obligation": { "actor": "All persons subject to the Act", "action": "recognize specified categories as Public Entities", "modality": "means", "object": "Public Entity", "conditions": [ "government departments or ministries", "bodies established by or under law", "bodies funded wholly or mainly by public funds", "boards, commissions, committees appointed by or on behalf of Government" ] }, "applicability": "All provisions applying to Public Entities under the Act.", "severity": "high", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1 - Public Entity", "text_snippet": "'Public Entity' means: (a) Any department or ministry of the government; (b) Any body established by or under any law..." } }, { "rule_id": "STD-2024-005", "title": "Application Receipt Acknowledgment", "rule_type": "obligation", "summary": "The Competent Authority must acknowledge receipt of applications within [X] working days.", "core_obligation": { "actor": "Competent Authority", "action": "acknowledge receipt of application", "modality": "shall", "object": "application", "conditions": [ "within [X] working days" ] }, "applicability": "All license applications received by the Competent Authority.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.3(a)", "text_snippet": "The Competent Authority shall acknowledge receipt of an application within [X] working days" } }, { "rule_id": "STD-2024-005", "title": "Clear Statement of License Conditions", "rule_type": "obligation", "summary": "All license conditions must be clearly stated in the license document.", "core_obligation": { "actor": "Competent Authority", "action": "clearly state conditions", "modality": "shall", "object": "license conditions", "conditions": [ "in the license document" ] }, "applicability": "All licenses with attached conditions.", "severity": "high", "category": "Transparency", "source_ref": { "page": 15, "clause": "Section 25.2(b)", "text_snippet": "License conditions shall be clearly stated in the license document" } }, { "rule_id": "STD-2024-005", "title": "Modification Application Requirements", "rule_type": "obligation", "summary": "Applications for license modification must be submitted in writing and include reasons for the requested modification.", "core_obligation": { "actor": "Licensee", "action": "submit application in writing with reasons", "modality": "shall", "object": "modification application", "conditions": [ "in writing", "stating reasons for modification" ] }, "applicability": "All licensees requesting modifications", "severity": "medium", "category": "Application Procedures", "source_ref": { "page": 16, "clause": "Section 27.2(b)", "text_snippet": "The application shall be in writing, stating the reasons for the requested modification" } }, { "rule_id": "STD-2024-005", "title": "Fee Payment Method", "rule_type": "obligation", "summary": "All fees shall be paid in the prescribed manner.", "core_obligation": { "actor": "License applicant/holder", "action": "pay fees", "modality": "shall", "object": "all fees", "conditions": [ "in the prescribed manner" ] }, "applicability": "All persons or entities required to pay licensing fees.", "severity": "high", "category": "Fee Payment", "source_ref": { "page": 18, "clause": "28a.2(a)", "text_snippet": "All fees shall be paid in the prescribed manner" } }, { "rule_id": "STD-2024-005", "title": "Validity Period of Existing Authorisations", "rule_type": "obligation", "summary": "Authorisations issued under previous legislation remain valid until their expiry or for a specified period after Act commencement, whichever is earlier.", "core_obligation": { "actor": "Holder of existing authorisation", "action": "maintain validity of authorisation", "modality": "shall", "object": "existing authorisation, permit, or license", "conditions": [ "until its expiry or for [Z] months after Act commencement", "whichever is earlier", "issued under previous legislation" ] }, "applicability": "All holders of authorisations, permits, or licenses issued under previous legislation", "severity": "medium", "category": "Licensing", "source_ref": { "page": 19, "clause": "Section 28b.2(a)", "text_snippet": "Any authorisation, permit, or license issued under [previous legislation] shall remain valid until its expiry or for [Z] months after the commencement of this Act, whichever is earlier" } }, { "rule_id": "STD-2024-005", "title": "Record Retention for Conformity Assessment Activities", "rule_type": "obligation", "summary": "CABs must maintain records of all conformity assessment activities for at least [W] years.", "core_obligation": { "actor": "Designated CAB", "action": "maintain records", "modality": "shall", "object": "records of all conformity assessment activities", "conditions": [ "for at least [W] years" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Record Keeping", "source_ref": { "page": 21, "clause": "Section 30.1(e)", "text_snippet": "Maintain records of all conformity assessment activities for at least [W] years" } }, { "rule_id": "STD-2024-005", "title": "CAB Annual Reporting Obligation", "rule_type": "obligation", "summary": "Each CAB must submit a comprehensive annual report to the Competent Authority covering activities, changes, audits, complaints, and financial information.", "core_obligation": { "actor": "CAB", "action": "submit annual report", "modality": "shall", "object": "annual report to Competent Authority", "conditions": [ "including summary of conformity assessment activities", "changes in personnel, facilities, or procedures", "results of internal audits and management reviews", "information on complaints and appeals", "prescribed regulatory information", "financial statements and KPIs" ] }, "applicability": "All designated CABs", "severity": "medium", "category": "Compliance", "source_ref": { "page": 23, "clause": "Section 32.2(a)", "text_snippet": "Each CAB shall submit an annual report to the Competent Authority, including: (i) Summary of conformity assessment activities conducted; (ii) Any changes in personnel, facilities, or procedures..." } }, { "rule_id": "STD-2024-005", "title": "Application Form Requirement for Recognition", "rule_type": "obligation", "summary": "Persons seeking recognition of foreign approvals or certificates must apply to the Competent Authority using the prescribed form.", "core_obligation": { "actor": "Person seeking recognition", "action": "apply in prescribed form", "modality": "shall", "object": "application for recognition", "conditions": [ "to the Competent Authority", "in the prescribed form" ] }, "applicability": "Any person seeking recognition of a foreign approval or certificate.", "severity": "medium", "category": "Recognition Procedures", "source_ref": { "page": 28, "clause": "Section 40.3(a)", "text_snippet": "A person seeking recognition of a foreign approval or certificate shall apply to the Competent Authority in the prescribed form" } }, { "rule_id": "STD-2024-005", "title": "Expeditious Illegal Content Removal", "rule_type": "obligation", "summary": "Platform providers must act expeditiously to remove or disable access to illegal content upon obtaining actual knowledge of its existence.", "core_obligation": { "actor": "Providers of digital platforms", "action": "remove or disable access to illegal content", "modality": "shall", "object": "illegal content", "conditions": [ "upon obtaining actual knowledge of its existence", "action must be expeditious" ] }, "applicability": "All providers of digital platforms", "severity": "critical", "category": "Content Moderation", "source_ref": { "page": 37, "clause": "Section 52.2(b)", "text_snippet": "Act expeditiously to remove or disable access to illegal content upon obtaining actual knowledge of its existence" } }, { "rule_id": "STD-2024-005", "title": "Competent Authority Response Deadline", "rule_type": "obligation", "summary": "The Competent Authority shall file a response within 21 days of receiving the appeal.", "core_obligation": { "actor": "Competent Authority", "action": "file response to appeal", "modality": "shall", "object": "written response", "conditions": [ "within 21 days of receiving the appeal" ] }, "applicability": "Competent Authority in all appeal proceedings", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 64, "clause": "Section 71.5(d)", "text_snippet": "The Competent Authority shall file a response within [21] days of receiving the appeal.", "_origin_rule_id": "STD-2024-005" }, { "page": 64, "clause": "Section 71.5(d)", "text_snippet": "The Competent Authority shall file a response within [21] days of receiving the appeal.", "_origin_rule_id": "STD-2024-071.5d" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-005", "title": "Fairness and Due Process in Penalty Proceedings", "rule_type": "obligation", "summary": "Regulated entities must be given the opportunity to present their case before penalties are imposed.", "core_obligation": { "actor": "Regulatory Authority", "action": "provide opportunity for entities to present their case", "modality": "should", "object": "procedural rights in penalty proceedings", "conditions": [ "before penalties are imposed" ] }, "applicability": "All penalty proceedings against regulated entities.", "severity": "critical", "category": "Procedural Rights and Due Process", "source_ref": { "page": 84, "clause": "Section 1.2(d)", "text_snippet": "Fairness: Regulated entities should have the opportunity to present their case before penalties are imposed" } }, { "rule_id": "STD-2024-005", "title": "Per-Day Penalties for Continuing Violations", "rule_type": "power", "summary": "Regulatory authority may impose per-day monetary penalties for violations that continue over time.", "core_obligation": { "actor": "Regulatory Authority", "action": "impose per-day penalties", "modality": "may", "object": "daily penalties for continuing violations", "conditions": [ "for continuing violations" ] }, "applicability": "Violations that are ongoing or not remedied within specified timeframes.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.1(c)", "text_snippet": "Per-day penalties for continuing violations" } }, { "rule_id": "STD-2024-006", "title": "Commercial Entity Financial Burden Limit - Viability Protection", "rule_type": "constraint", "summary": "Commercial legal persons cannot be required to take measures that would render them economically unviable, as determined by independent financial audit.", "core_obligation": { "actor": "Any person imposing compliance measures", "action": "prohibit measures rendering entity economically unviable", "modality": "shall not require", "object": "compliance measures affecting commercial legal persons", "conditions": [ "measures would render entity economically unviable", "as determined by independent financial audit" ] }, "applicability": "All compliance measures affecting commercial legal persons", "severity": "critical", "category": "Economic Viability Protection", "source_ref": { "page": 5, "clause": "Section 4.3(b)(ii)", "text_snippet": "No commercial legal person shall be required to take measures that would render it economically unviable, as determined by an independent financial audit." } }, { "rule_id": "STD-2024-006", "title": "Definition of Writing", "rule_type": "definition", "summary": "References to writing include any mode of representing or reproducing words in visible form, including electronic forms.", "core_obligation": { "actor": "All persons interpreting this Act", "action": "interpret 'writing' to include electronic forms", "modality": "include", "object": "references to writing", "conditions": [ "unless the context otherwise requires", "including electronic forms" ] }, "applicability": "All provisions of this Act referring to 'writing' or written requirements.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 5, "clause": "Section 5.3(d)", "text_snippet": "References to writing include any mode of representing or reproducing words in visible form, including electronic forms." } }, { "rule_id": "STD-2024-006", "title": "Parliamentary Scrutiny Period", "rule_type": "obligation", "summary": "Any amendment must be laid before Parliament for [X] days during which it may be annulled by parliamentary resolution.", "core_obligation": { "actor": "relevant Minister", "action": "lay amendment before Parliament", "modality": "shall", "object": "any amendment made under section 7", "conditions": [ "for a period of [X] days", "subject to annulment by resolution of Parliament" ] }, "applicability": "Any amendment made under section 7.", "severity": "high", "category": "Parliamentary Oversight", "source_ref": { "page": 6, "clause": "Section 7.3(a)", "text_snippet": "Any amendment made under this section shall be: (a) Laid before [Parliament] for a period of [X] days, during which it may be annulled..." } }, { "rule_id": "STD-2024-006", "title": "Extraterritorial Application", "rule_type": "definition", "summary": "This Act applies to acts and omissions of covered persons regardless of whether they occur within or outside State X, if they have effects within State X or on interests protected by this Act.", "core_obligation": { "actor": "All persons covered by subsection 12.1", "action": "are subject to this Act for their acts and omissions", "modality": "applies to", "object": "acts and omissions", "conditions": [ "Regardless of whether acts/omissions occur within or outside State X", "IF they have effects within State X", "OR affect interests protected by this Act" ] }, "applicability": "All persons under Section 12.1 whose conduct has effects in State X or affects protected interests", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 12.3", "text_snippet": "This Act applies to the acts and omissions of persons covered by subsection 12.1, regardless of whether such acts or omissions occur within or outside [State X], if they have effects within [State X] or on interests protected by this Act" } }, { "rule_id": "STD-2024-006", "title": "Definition of Public Official", "rule_type": "definition", "summary": "Defines Public Official broadly to include all persons holding government office or performing public functions, regardless of appointment type, payment, or seniority.", "core_obligation": { "actor": "All persons subject to the Act", "action": "recognize specified categories as Public Officials", "modality": "means", "object": "Public Official", "conditions": [ "persons holding legislative, executive, administrative, or judicial office", "whether appointed or elected, permanent or temporary, paid or unpaid", "irrespective of seniority", "persons performing public functions or providing public services" ] }, "applicability": "All provisions applying to Public Officials under the Act.", "severity": "high", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1 - Public Official", "text_snippet": "'Public Official' means: (a) Any person holding a legislative, executive, administrative, or judicial office... (b) Any other person who performs a public function..." } }, { "rule_id": "STD-2024-006", "title": "Incomplete Application Notification", "rule_type": "obligation", "summary": "The Competent Authority must notify applicants of incomplete applications within [Y] working days, specifying required additional information.", "core_obligation": { "actor": "Competent Authority", "action": "notify applicant of deficiencies", "modality": "shall", "object": "notification specifying additional information required", "conditions": [ "if application is incomplete", "within [Y] working days" ] }, "applicability": "Incomplete license applications.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.3(b)", "text_snippet": "If the application is incomplete, the Competent Authority shall notify the applicant within [Y] working days, specifying the additional information required" } }, { "rule_id": "STD-2024-006", "title": "Power to Impose Additional Specific Conditions", "rule_type": "power", "summary": "The Competent Authority may impose additional conditions based on the specific nature of the licensed activity.", "core_obligation": { "actor": "Competent Authority", "action": "impose additional conditions", "modality": "may", "object": "additional license conditions", "conditions": [ "based on the specific nature of the licensed activity", "including community engagement requirements", "periodic third-party audits", "implementation of specific technological measures" ] }, "applicability": "All licenses where specific activity nature warrants additional conditions.", "severity": "medium", "category": "Regulatory Power", "source_ref": { "page": 15, "clause": "Section 25.2(c)", "text_snippet": "The Competent Authority may impose additional conditions based on the specific nature of the licensed activity, including: (i) Community engagement requirements; (ii) Periodic third-party audits; and (iii) Implementation of specific technological measures" } }, { "rule_id": "STD-2024-006", "title": "Modification Application Review Timeline", "rule_type": "obligation", "summary": "The Competent Authority must consider modification applications within [Y] days and may approve, approve with changes, or reject the modification.", "core_obligation": { "actor": "Competent Authority", "action": "consider application and decide", "modality": "shall", "object": "modification application", "conditions": [ "within [Y] days", "with licensee agreement for changes" ] }, "applicability": "All modification applications from licensees", "severity": "medium", "category": "Administrative Procedures", "source_ref": { "page": 16, "clause": "Section 27.2(c)", "text_snippet": "The Competent Authority shall consider the application within [Y] days and may..." } }, { "rule_id": "STD-2024-006", "title": "License Issuance Conditional on Fee Payment", "rule_type": "obligation", "summary": "A license shall not be issued or renewed until the relevant fee has been paid.", "core_obligation": { "actor": "Competent Authority", "action": "not issue or renew license", "modality": "shall not", "object": "license", "conditions": [ "until the relevant fee has been paid" ] }, "applicability": "All license issuance and renewal processes.", "severity": "high", "category": "Fee Payment", "source_ref": { "page": 18, "clause": "28a.2(b)", "text_snippet": "A license shall not be issued or renewed until the relevant fee has been paid" } }, { "rule_id": "STD-2024-006", "title": "Right to Apply for Conversion of Existing Authorisations", "rule_type": "power", "summary": "Holders of existing authorisations may apply to convert them to licenses under the new Act before expiry.", "core_obligation": { "actor": "Holder of existing authorisation", "action": "apply to convert authorisation", "modality": "may", "object": "conversion application", "conditions": [ "at any time before authorisation expiry", "to convert to license under this Act" ] }, "applicability": "All holders of valid authorisations issued under previous legislation", "severity": "low", "category": "Licensing", "source_ref": { "page": 19, "clause": "Section 28b.2(b)", "text_snippet": "The holder of such authorisation may apply to convert it to a license under this Act at any time before its expiry" } }, { "rule_id": "STD-2024-006", "title": "Annual Reporting to Competent Authority", "rule_type": "obligation", "summary": "CABs must submit annual reports on conformity assessment activities to the Competent Authority.", "core_obligation": { "actor": "Designated CAB", "action": "submit annual reports", "modality": "shall", "object": "reports on conformity assessment activities", "conditions": [ "to the Competent Authority", "annually" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "medium", "category": "Reporting", "source_ref": { "page": 21, "clause": "Section 30.1(f)", "text_snippet": "Submit annual reports to the Competent Authority on its conformity assessment activities" } }, { "rule_id": "STD-2024-006", "title": "Immediate Reporting of Material Changes", "rule_type": "obligation", "summary": "CABs must immediately notify the Competent Authority of any matter that could affect their compliance with designation criteria.", "core_obligation": { "actor": "CAB", "action": "immediately report", "modality": "shall", "object": "matters affecting compliance", "conditions": [ "any matter that may affect compliance with designation criteria" ] }, "applicability": "All designated CABs", "severity": "high", "category": "Compliance", "source_ref": { "page": 23, "clause": "Section 32.2(b)", "text_snippet": "CABs shall immediately report to the Competent Authority any matter that may affect their compliance with the criteria for designation" } }, { "rule_id": "STD-2024-006", "title": "Mandatory Documentation for Recognition Applications", "rule_type": "obligation", "summary": "Applications for recognition must be accompanied by five categories of documents: copy of foreign approval, evidence of Section 39.1 compliance, prescribed documents, detailed product description, and information on conditions or limitations.", "core_obligation": { "actor": "Applicant", "action": "submit required documentation", "modality": "shall", "object": "application documentation", "conditions": [ "copy of foreign approval or certificate", "evidence that Section 39.1 conditions are met", "any other information or document prescribed by regulations", "detailed description of product, system, or qualification", "information on any conditions or limitations attached to foreign approval" ] }, "applicability": "All applications for recognition of foreign approvals or certificates.", "severity": "medium", "category": "Recognition Procedures", "source_ref": { "page": 28, "clause": "Section 40.3(b)", "text_snippet": "The application shall be accompanied by: (i) A copy of the foreign approval or certificate; (ii) Evidence that the conditions in Section 39.1 are met..." } }, { "rule_id": "STD-2024-006", "title": "Transparent Content Moderation Procedures", "rule_type": "obligation", "summary": "Platform providers must implement transparent procedures for content moderation decisions.", "core_obligation": { "actor": "Providers of digital platforms", "action": "implement procedures", "modality": "shall", "object": "transparent procedures for content moderation decisions", "conditions": [ "procedures must be transparent" ] }, "applicability": "All providers of digital platforms", "severity": "medium", "category": "Content Moderation", "source_ref": { "page": 37, "clause": "Section 52.2(c)", "text_snippet": "Implement transparent procedures for content moderation decisions" } }, { "rule_id": "STD-2024-006", "title": "Tribunal Procedural Powers During Appeals", "rule_type": "power", "summary": "The Tribunal may hold oral hearings, request additional information, and appoint independent experts during appeal proceedings.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "exercise procedural powers", "modality": "may", "object": "hearings, information requests, expert appointments", "conditions": [ "if deemed necessary", "to advise on technical matters" ] }, "applicability": "Regulatory Appeals Tribunal in all appeal proceedings", "severity": "medium", "category": "Procedural Powers", "source_ref": [ { "page": 64, "clause": "Section 71.5(e)", "text_snippet": "The Tribunal may: (i) Hold oral hearings if deemed necessary; (ii) Request additional information from either party; (iii) Appoint independent experts...", "_origin_rule_id": "STD-2024-006" }, { "page": 64, "clause": "Section 71.5(e)", "text_snippet": "The Tribunal may: (i) Hold oral hearings if deemed necessary; (ii) Request additional information from either party; (iii) Appoint independent experts...", "_origin_rule_id": "STD-2024-071.5e" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-006", "title": "Effectiveness Principle for Deterrence", "rule_type": "obligation", "summary": "Penalties must be set at levels that ensure deterrence and promote compliance.", "core_obligation": { "actor": "Regulatory Authority", "action": "set penalties at effective deterrent levels", "modality": "should", "object": "penalty levels", "conditions": [ "to ensure deterrence", "to promote compliance" ] }, "applicability": "All penalty level determinations.", "severity": "high", "category": "Penalty Assessment Principles", "source_ref": { "page": 84, "clause": "Section 1.2(e)", "text_snippet": "Effectiveness: Penalties should be set at levels that ensure deterrence and promote compliance" } }, { "rule_id": "STD-2024-006", "title": "Penalty Multipliers for Repeat Offenders", "rule_type": "power", "summary": "Regulatory authority may apply multipliers to increase penalties for repeat offenders.", "core_obligation": { "actor": "Regulatory Authority", "action": "apply penalty multipliers", "modality": "may", "object": "enhanced penalties for repeat violations", "conditions": [ "for repeat offenders" ] }, "applicability": "Entities with prior violations or enforcement history.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.1(d)", "text_snippet": "Multipliers for repeat offenders" } }, { "rule_id": "STD-2024-006.1a", "title": "Deemed Location of Internet Actions", "rule_type": "definition", "summary": "Any action taken on or via the Internet shall be deemed to have been taken in State X if this Act applies to that action.", "core_obligation": { "actor": "Any person or entity", "action": "actions taken on or via the Internet", "modality": "shall be deemed", "object": "location of action (deemed to be in State X)", "conditions": [ "if this Act applies to that action" ] }, "applicability": "All actions taken on or via the Internet where this Act applies.", "severity": "high", "category": "Jurisdiction", "source_ref": { "page": 6, "clause": "Section 6.1(a)", "text_snippet": "Any action taken on or via the Internet shall be deemed to have been taken in [State X] if this Act applies to that action." } }, { "rule_id": "STD-2024-006.1b", "title": "Deemed Location of Internet Effects", "rule_type": "definition", "summary": "Any effect observed on or via the Internet shall be deemed to have occurred in State X if this Act applies to that effect.", "core_obligation": { "actor": "Any person or entity", "action": "effects observed on or via the Internet", "modality": "shall be deemed", "object": "location of effect (deemed to have occurred in State X)", "conditions": [ "if this Act applies to that effect" ] }, "applicability": "All effects observed on or via the Internet where this Act applies.", "severity": "high", "category": "Jurisdiction", "source_ref": { "page": 6, "clause": "Section 6.1(b)", "text_snippet": "Any effect observed on or via the Internet shall be deemed to have occurred in [State X] if this Act applies to that effect." } }, { "rule_id": "STD-2024-006.2", "title": "Rebuttable Presumption of Location", "rule_type": "definition", "summary": "In case of uncertainty regarding the place of an action or effect relevant to this Act, it shall be rebuttably presumed that the action, its effect, and the causal chain occurred in State X.", "core_obligation": { "actor": "Courts, regulators, and parties", "action": "apply rebuttable presumption of location", "modality": "shall be rebuttably presumed", "object": "place of action, effect, and causal chain (presumed to be in State X)", "conditions": [ "in case of uncertainty regarding the place of an action or effect relevant to this Act" ] }, "applicability": "All situations where there is uncertainty about the location of actions or effects relevant to this Act.", "severity": "high", "category": "Jurisdiction", "source_ref": { "page": 6, "clause": "Section 6.2", "text_snippet": "In case of uncertainty regarding the place of an action or effect relevant to this Act, it shall be rebuttably presumed that the action, its effect, and the causal chain in between occurred in [State" } }, { "rule_id": "STD-2024-007", "title": "Publication of Proportionality Guidelines", "rule_type": "obligation", "summary": "The Competent Authority must publish detailed guidelines on applying the proportionality principle, including worked examples and case studies.", "core_obligation": { "actor": "Competent Authority", "action": "publish detailed guidelines", "modality": "shall", "object": "proportionality principle guidelines", "conditions": [ "must include worked examples", "must include case studies" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "Transparency and Guidance", "source_ref": { "page": 5, "clause": "Section 4.4", "text_snippet": "The Competent Authority shall publish detailed guidelines on the application of the proportionality principle, including worked examples and case studies." } }, { "rule_id": "STD-2024-007", "title": "Power to Issue Interpretative Guidelines", "rule_type": "power", "summary": "The Competent Authority may issue interpretative guidelines to clarify the application of defined terms in specific contexts.", "core_obligation": { "actor": "Competent Authority", "action": "issue interpretative guidelines", "modality": "may", "object": "interpretative guidelines for defined terms", "conditions": [ "to clarify application in specific contexts" ] }, "applicability": "Competent Authority when clarification of defined terms is needed.", "severity": "medium", "category": "Regulatory Power", "source_ref": [ { "page": 5, "clause": "Section 5.4", "text_snippet": "The Competent Authority may issue interpretative guidelines to clarify the application of defined terms in specific contexts.", "_origin_rule_id": "STD-2024-007" }, { "page": 67, "clause": "Section 73.2(b)", "text_snippet": "The Competent Authority may issue interpretative guidelines to clarify the meaning of terms not explicitly defined in the Act.", "_origin_rule_id": "STD-2024-073.2B" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-007", "title": "Application Processing Timeline", "rule_type": "obligation", "summary": "The Competent Authority must process complete applications within [Z] days of receipt.", "core_obligation": { "actor": "Competent Authority", "action": "process complete applications", "modality": "shall", "object": "complete applications", "conditions": [ "within [Z] days of receipt" ] }, "applicability": "All complete license applications.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.3(c)", "text_snippet": "The Competent Authority shall process complete applications within [Z] days of receipt" } }, { "rule_id": "STD-2024-007", "title": "Licensee Compliance with License Conditions", "rule_type": "obligation", "summary": "Licensees must comply with all conditions attached to their license.", "core_obligation": { "actor": "Licensee", "action": "comply with all conditions", "modality": "shall", "object": "all conditions attached to the license", "conditions": [] }, "applicability": "All licensees holding licenses with attached conditions.", "severity": "critical", "category": "Compliance", "source_ref": { "page": 15, "clause": "Section 25.2(d)", "text_snippet": "The licensee shall comply with all conditions attached to the license" } }, { "rule_id": "STD-2024-007", "title": "Publication of Approved Modifications", "rule_type": "obligation", "summary": "The Competent Authority must publish notice of any approved license modifications along with the reasons for such modifications.", "core_obligation": { "actor": "Competent Authority", "action": "publish notice", "modality": "shall", "object": "approved modifications and reasons", "conditions": [] }, "applicability": "All approved license modifications", "severity": "medium", "category": "Transparency", "source_ref": { "page": 16, "clause": "Section 27.2(d)", "text_snippet": "The Competent Authority shall publish a notice of any approved modifications and the reasons for such modifications" } }, { "rule_id": "STD-2024-007", "title": "Installment Payment for Financial Hardship", "rule_type": "power", "summary": "The Competent Authority may allow payment of fees in installments in cases of demonstrated financial hardship.", "core_obligation": { "actor": "Competent Authority", "action": "allow installment payment", "modality": "may", "object": "fees", "conditions": [ "in cases of demonstrated financial hardship" ] }, "applicability": "Applicants or licensees demonstrating financial hardship.", "severity": "low", "category": "Fee Relief", "source_ref": { "page": 18, "clause": "28a.2(c)", "text_snippet": "The Competent Authority may, in cases of demonstrated financial hardship, allow payment of fees in installments." } }, { "rule_id": "STD-2024-007", "title": "Prescription of Conversion Procedure", "rule_type": "obligation", "summary": "The Competent Authority must prescribe the procedure for converting existing authorisations to licenses under the new Act.", "core_obligation": { "actor": "Competent Authority", "action": "prescribe the procedure", "modality": "shall", "object": "conversion procedure", "conditions": [ "for conversion of existing authorisations to new licenses" ] }, "applicability": "Competent Authority in establishing conversion procedures", "severity": "medium", "category": "Administrative", "source_ref": { "page": 19, "clause": "Section 28b.2(c)", "text_snippet": "The Competent Authority shall prescribe the procedure for such conversion" } }, { "rule_id": "STD-2024-007", "title": "Participation in Proficiency Testing Programs", "rule_type": "obligation", "summary": "CABs must participate in proficiency testing programs as directed by the Competent Authority.", "core_obligation": { "actor": "Designated CAB", "action": "participate", "modality": "shall", "object": "proficiency testing programs", "conditions": [ "as directed by the Competent Authority" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "medium", "category": "Quality Assurance", "source_ref": { "page": 21, "clause": "Section 30.1(g)", "text_snippet": "Participate in relevant proficiency testing programs as directed by the Competent Authority" } }, { "rule_id": "STD-2024-007", "title": "Publication of CAB System Performance", "rule_type": "obligation", "summary": "The Competent Authority must publish an annual report on the overall performance of the CAB system.", "core_obligation": { "actor": "Competent Authority", "action": "publish annual report", "modality": "shall", "object": "annual report on CAB system performance", "conditions": [ "covering overall performance of the CAB system" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "Transparency", "source_ref": { "page": 23, "clause": "Section 32.2(c)", "text_snippet": "The Competent Authority shall publish an annual report on the overall performance of the CAB system" } }, { "rule_id": "STD-2024-007", "title": "Algorithmic System Information Disclosure", "rule_type": "obligation", "summary": "Providers using algorithmic systems must provide clear information about their use when they affect users.", "core_obligation": { "actor": "Providers of digital services using algorithmic systems", "action": "provide information", "modality": "shall", "object": "clear information about the use of algorithmic systems", "conditions": [ "algorithmic systems affect users", "information must be clear" ] }, "applicability": "Providers of digital services using algorithmic systems that affect users", "severity": "medium", "category": "Transparency", "source_ref": { "page": 37, "clause": "Section 52.3(a)", "text_snippet": "Provide clear information about the use of algorithmic systems that affect users" } }, { "rule_id": "STD-2024-007", "title": "Tribunal Decision Timeline", "rule_type": "obligation", "summary": "The Tribunal shall issue a reasoned decision within 90 days of the hearing or final submissions.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "issue reasoned decision", "modality": "shall", "object": "written decision with reasons", "conditions": [ "within 90 days of the hearing or final submissions" ] }, "applicability": "Regulatory Appeals Tribunal in all appeal proceedings", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 64, "clause": "Section 71.5(f)", "text_snippet": "The Tribunal shall issue a reasoned decision within [90] days of the hearing or final submissions.", "_origin_rule_id": "STD-2024-007" }, { "page": 64, "clause": "Section 71.5(f)", "text_snippet": "The Tribunal shall issue a reasoned decision within [90] days of the hearing or final submissions.", "_origin_rule_id": "STD-2024-071.5f" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-007", "title": "Responsiveness and Adaptability of Penalty Regime", "rule_type": "obligation", "summary": "The penalty regime must be adaptable to changing market conditions and emerging risks.", "core_obligation": { "actor": "Regulatory Authority", "action": "maintain adaptable penalty regime", "modality": "should", "object": "penalty regime framework", "conditions": [ "adaptable to changing market conditions", "adaptable to emerging risks" ] }, "applicability": "Ongoing management and review of the penalty framework.", "severity": "medium", "category": "Regulatory Framework Management", "source_ref": { "page": 84, "clause": "Section 1.2(f)", "text_snippet": "Responsiveness: The penalty regime should be adaptable to changing market conditions and emerging risks" } }, { "rule_id": "STD-2024-007", "title": "Mandatory Corrective Action Orders", "rule_type": "power", "summary": "Regulatory authority may issue mandatory orders requiring violators to take corrective actions.", "core_obligation": { "actor": "Regulatory Authority", "action": "issue mandatory corrective action orders", "modality": "may", "object": "corrective action orders", "conditions": [] }, "applicability": "Violations requiring remediation or corrective measures.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.2(a)", "text_snippet": "Mandatory corrective action orders" } }, { "rule_id": "STD-2024-008", "title": "Consideration of Technological Solutions", "rule_type": "obligation", "summary": "When assessing proportionality, the Competent Authority must consider the availability and feasibility of technological solutions that may reduce compliance burden.", "core_obligation": { "actor": "Competent Authority", "action": "consider technological solutions", "modality": "shall", "object": "availability and feasibility of technology", "conditions": [ "when assessing proportionality", "solutions that may reduce compliance burden" ] }, "applicability": "All proportionality assessments by Competent Authority", "severity": "medium", "category": "Assessment Procedure", "source_ref": { "page": 5, "clause": "Section 4.5", "text_snippet": "When assessing proportionality, the Competent Authority shall consider the availability and feasibility of technological solutions that may reduce the burden of compliance." } }, { "rule_id": "STD-2024-008", "title": "Competent Authority Guidance Requirement", "rule_type": "obligation", "summary": "Any amendment must be accompanied by updated guidance from the Competent Authority on its practical application.", "core_obligation": { "actor": "Competent Authority", "action": "provide updated guidance", "modality": "shall", "object": "practical application of amendments", "conditions": [ "guidance must accompany the amendment", "guidance must address practical application" ] }, "applicability": "The Competent Authority when amendments are made under section 7.", "severity": "medium", "category": "Implementation Guidance", "source_ref": { "page": 6, "clause": "Section 7.3(c)", "text_snippet": "Accompanied by updated guidance from the Competent Authority on its practical application." } }, { "rule_id": "STD-2024-008", "title": "Definition of Prescribed", "rule_type": "definition", "summary": "Defines Prescribed to mean prescribed by the Act itself or by regulations made under the Act.", "core_obligation": { "actor": "All persons subject to the Act", "action": "recognize prescriptions from both the Act and its regulations", "modality": "means", "object": "Prescribed", "conditions": [ "prescribed by this Act or regulations made under this Act" ] }, "applicability": "All provisions using the term 'Prescribed' in the Act.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 12, "clause": "Section 20.1 - Prescribed", "text_snippet": "'Prescribed' means prescribed by this Act or regulations made under this Act." } }, { "rule_id": "STD-2024-008", "title": "Processing Period Extension Power", "rule_type": "power", "summary": "The Competent Authority may extend the processing period by up to [W] days if additional verification is required, with notification to the applicant.", "core_obligation": { "actor": "Competent Authority", "action": "extend processing period", "modality": "may", "object": "processing period", "conditions": [ "by up to [W] days", "if additional verification is required", "must notify applicant of extension" ] }, "applicability": "Applications requiring additional verification.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.3(d)", "text_snippet": "The Competent Authority may extend the processing period by up to [W] days if additional verification is required, notifying the applicant of such extension" } }, { "rule_id": "STD-2024-008", "title": "Maintenance of Public License Register", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of all licenses issued and respective licensees.", "core_obligation": { "actor": "Competent Authority", "action": "maintain a public register", "modality": "shall", "object": "public register of all licenses issued and respective licensees", "conditions": [] }, "applicability": "The Competent Authority in relation to all issued licenses.", "severity": "high", "category": "Transparency", "source_ref": { "page": 15, "clause": "Section 25.3(a)", "text_snippet": "The Competent Authority shall maintain a public register of all licenses issued and of respective licensees" } }, { "rule_id": "STD-2024-008", "title": "Discretionary Suspension or Revocation Grounds", "rule_type": "power", "summary": "The Competent Authority may suspend or revoke a license for breach of conditions, contravention of the Act, unfitness, public safety concerns, or failure to comply with corrective actions.", "core_obligation": { "actor": "Competent Authority", "action": "suspend or revoke license", "modality": "may", "object": "license", "conditions": [ "breach of license condition", "contravention of Act or regulations", "licensee no longer fit and proper", "necessary to prevent harm to public health, safety, or environment", "failure to comply with corrective actions within timeframe" ] }, "applicability": "All licenses", "severity": "critical", "category": "Enforcement Powers", "source_ref": { "page": 16, "clause": "Section 27.3(a)", "text_snippet": "The Competent Authority may suspend or revoke a license if..." } }, { "rule_id": "STD-2024-008", "title": "Fee Waiver and Reduction Criteria", "rule_type": "power", "summary": "The Competent Authority may establish criteria for granting fee waivers or reductions for financial hardship or public benefit activities.", "core_obligation": { "actor": "Competent Authority", "action": "establish criteria for fee waivers or reductions", "modality": "may", "object": "criteria for fee waivers or reductions", "conditions": [ "in cases of demonstrated financial hardship", "for activities providing significant public benefits" ] }, "applicability": "Competent Authority with discretion to provide fee relief.", "severity": "low", "category": "Fee Relief", "source_ref": { "page": 18, "clause": "28a.2(d)", "text_snippet": "The Competent Authority may establish criteria for granting fee waivers or reductions in cases of demonstrated financial hardship or for activities that provide significant public benefits." } }, { "rule_id": "STD-2024-008", "title": "Quality Standards for Conversion Process", "rule_type": "obligation", "summary": "The Competent Authority must ensure the conversion process is transparent, efficient, and minimises disruption to existing operations.", "core_obligation": { "actor": "Competent Authority", "action": "ensure process quality", "modality": "shall", "object": "conversion process", "conditions": [ "process must be transparent", "process must be efficient", "process must minimise disruption to existing operations" ] }, "applicability": "Competent Authority in administering the conversion process", "severity": "medium", "category": "Administrative", "source_ref": { "page": 19, "clause": "Section 28b.2(d)", "text_snippet": "The Competent Authority shall ensure that the conversion process is transparent, efficient, and minimises disruption to existing operations" } }, { "rule_id": "STD-2024-008", "title": "Confidentiality of Assessment Information", "rule_type": "obligation", "summary": "CABs must maintain confidentiality of information obtained during conformity assessment activities, except as required by law.", "core_obligation": { "actor": "Designated CAB", "action": "maintain confidentiality", "modality": "shall", "object": "information obtained during conformity assessment activities", "conditions": [ "except as required by law" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Data Protection", "source_ref": { "page": 21, "clause": "Section 30.1(h)", "text_snippet": "Maintain the confidentiality of information obtained during conformity assessment activities, except as required by law" } }, { "rule_id": "STD-2024-008", "title": "Sanctions for CAB Non-Compliance", "rule_type": "power", "summary": "The Competent Authority may impose graduated sanctions on non-compliant CABs, ranging from warnings to designation withdrawal and financial penalties.", "core_obligation": { "actor": "Competent Authority", "action": "impose sanctions", "modality": "may", "object": "non-compliant CABs", "conditions": [ "if CAB found non-compliant with Act or designation terms", "sanctions include: warning, corrective action requirement, scope limitation, suspension, withdrawal, financial penalties" ] }, "applicability": "CABs found to be non-compliant", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 23, "clause": "Section 32.3(a)", "text_snippet": "If a CAB is found to be non-compliant with this Act or the terms of its designation, the Competent Authority may: (i) Issue a warning; (ii) Require corrective action... (vi) Impose financial penalties" } }, { "rule_id": "STD-2024-008", "title": "Obligation to Assess Recognition Applications", "rule_type": "obligation", "summary": "The Competent Authority must assess each application for recognition submitted.", "core_obligation": { "actor": "Competent Authority", "action": "assess applications", "modality": "shall", "object": "each application for recognition", "conditions": [] }, "applicability": "Competent Authority upon receipt of recognition applications.", "severity": "high", "category": "Recognition Procedures", "source_ref": { "page": 28, "clause": "Section 40.4(a)", "text_snippet": "The Competent Authority shall assess each application for recognition" } }, { "rule_id": "STD-2024-008", "title": "Non-Discriminatory Algorithmic Systems", "rule_type": "obligation", "summary": "Providers must ensure that algorithmic systems do not produce discriminatory outcomes.", "core_obligation": { "actor": "Providers of digital services using algorithmic systems", "action": "ensure non-discriminatory outcomes", "modality": "shall", "object": "algorithmic systems", "conditions": [ "systems must not produce discriminatory outcomes" ] }, "applicability": "Providers of digital services using algorithmic systems", "severity": "high", "category": "Compliance", "source_ref": { "page": 37, "clause": "Section 52.3(b)", "text_snippet": "Ensure that algorithmic systems do not produce discriminatory outcomes" } }, { "rule_id": "STD-2024-008", "title": "Interim Relief Powers", "rule_type": "power", "summary": "The Tribunal may grant interim relief pending final determination, including stay of decisions, temporary license continuation, or measures to preserve status quo.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "grant interim relief", "modality": "may", "object": "interim orders", "conditions": [ "pending final determination of appeal", "to preserve status quo or prevent irreparable harm" ] }, "applicability": "Regulatory Appeals Tribunal when interim relief is requested", "severity": "high", "category": "Procedural Powers", "source_ref": { "page": 64, "clause": "Section 71.5 (Interim Relief)(a)", "text_snippet": "The Tribunal may grant interim relief pending the final determination of an appeal, including: (i) Stay of the Competent Authority's decision; (ii) Temporary continuation of a suspended license..." } }, { "rule_id": "STD-2024-009", "title": "License Application Evaluation Criteria", "rule_type": "obligation", "summary": "The Competent Authority must consider specified criteria when evaluating license applications, including suitability, compliance history, public interest, and impact assessments.", "core_obligation": { "actor": "Competent Authority", "action": "consider specified evaluation criteria", "modality": "shall consider", "object": "license application", "conditions": [ "applicant's suitability and resources", "compliance history", "public interest considerations", "environmental and social impact assessments where applicable", "other factors prescribed by regulations" ] }, "applicability": "All license applications under evaluation.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.4", "text_snippet": "In evaluating a license application, the Competent Authority shall consider: (a) The applicant's suitability..." } }, { "rule_id": "STD-2024-009", "title": "License Register Content Requirements", "rule_type": "obligation", "summary": "The license register must include specific information about each license and licensee.", "core_obligation": { "actor": "Competent Authority", "action": "include specified information in the register", "modality": "shall", "object": "license register content", "conditions": [ "name and contact details of the licensee", "type and duration of the license", "scope of licensed activities", "any restrictions or special conditions" ] }, "applicability": "The public license register maintained by the Competent Authority.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 15, "clause": "Section 25.3(b)", "text_snippet": "The register shall include: (i) Name and contact details of the licensee; (ii) Type and duration of the license; (iii) Scope of licensed activities; and (iv) Any restrictions or special conditions" } }, { "rule_id": "STD-2024-009", "title": "Precautionary Suspension Power", "rule_type": "power", "summary": "The Competent Authority may suspend a license on reasonable grounds to suspect that suspension or revocation conditions have been met.", "core_obligation": { "actor": "Competent Authority", "action": "suspend license", "modality": "may", "object": "license", "conditions": [ "reasonable grounds to suspect conditions in 27.3(a) are met" ] }, "applicability": "All licenses where grounds for concern exist", "severity": "high", "category": "Precautionary Measures", "source_ref": [ { "page": 16, "clause": "Section 27.3(b)", "text_snippet": "The Competent Authority may suspend a license if it has reasonable grounds to suspect...", "_origin_rule_id": "STD-2024-009" }, { "page": 16, "clause": "Section 27.4(b)", "text_snippet": "The Competent Authority must suspend a license if it has reasonable grounds to suspect...", "_origin_rule_id": "STD-2024-011" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-009", "title": "Non-Refundability of Application Fees", "rule_type": "obligation", "summary": "Application fees shall not be refundable, unless the negative outcome is exclusively the responsibility of the Competent Authority.", "core_obligation": { "actor": "Competent Authority", "action": "not refund application fees", "modality": "shall not", "object": "application fees", "conditions": [ "unless the negative outcome is exclusively the responsibility of the Competent Authority" ] }, "applicability": "All license application processes.", "severity": "medium", "category": "Fee Refunds", "source_ref": { "page": 18, "clause": "28a.3(a)", "text_snippet": "Application fees shall not be refundable, unless the negative outcome of the application is a matter of responsibility of the Competent Authority exclusively" } }, { "rule_id": "STD-2024-009", "title": "Continuous Improvement Program Implementation", "rule_type": "obligation", "summary": "CABs must implement a continuous improvement program for conformity assessment processes.", "core_obligation": { "actor": "Designated CAB", "action": "implement", "modality": "shall", "object": "continuous improvement program", "conditions": [ "for its conformity assessment processes" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "medium", "category": "Quality Assurance", "source_ref": { "page": 21, "clause": "Section 30.1(i)", "text_snippet": "Implement a continuous improvement program for its conformity assessment processes" } }, { "rule_id": "STD-2024-009", "title": "Due Process Before Sanctions", "rule_type": "obligation", "summary": "The Competent Authority must follow due process procedures before imposing any sanction on a CAB, including notice, opportunity to respond, and independent decision-making.", "core_obligation": { "actor": "Competent Authority", "action": "follow due process procedures", "modality": "shall", "object": "sanction process", "conditions": [ "inform CAB of alleged non-compliance", "provide opportunity to respond", "consider CAB's response or corrective action", "ensure decision-making independence from investigation" ] }, "applicability": "All sanction proceedings against CABs", "severity": "critical", "category": "Procedural Rights", "source_ref": { "page": 23, "clause": "Section 32.3(b)", "text_snippet": "Before imposing any sanction, the Competent Authority shall: (i) Inform the CAB of the alleged non-compliance; (ii) Provide the CAB with an opportunity to respond..." } }, { "rule_id": "STD-2024-009", "title": "Assessment Methods for Recognition Applications", "rule_type": "power", "summary": "The Competent Authority may use six assessment methods including document review, verification with issuing authority, on-site assessment, expert consultation, comparative analysis, and compliance history evaluation.", "core_obligation": { "actor": "Competent Authority", "action": "conduct assessment using specified methods", "modality": "may", "object": "assessment of recognition applications", "conditions": [ "document review", "verification with issuing authority", "on-site assessment of issuing authority or body if necessary", "consultation with relevant experts or advisory committees", "comparative analysis with State X's regulatory requirements", "evaluation of applicant's compliance history in other jurisdictions" ] }, "applicability": "Competent Authority when assessing recognition applications.", "severity": "medium", "category": "Recognition Procedures", "source_ref": { "page": 28, "clause": "Section 40.4(b)", "text_snippet": "The assessment may include: (i) Document review; (ii) Verification with the issuing authority; (iii) On-site assessment..." } }, { "rule_id": "STD-2024-009", "title": "Ranking System Parameters Disclosure", "rule_type": "obligation", "summary": "Providers must provide meaningful information about the main parameters used in ranking systems, where applicable.", "core_obligation": { "actor": "Providers of digital services using algorithmic systems", "action": "provide information about ranking parameters", "modality": "shall", "object": "meaningful information about main parameters used in ranking systems", "conditions": [ "where applicable", "information must be meaningful" ] }, "applicability": "Providers of digital services using ranking systems", "severity": "medium", "category": "Transparency", "source_ref": { "page": 37, "clause": "Section 52.3(c)", "text_snippet": "Provide meaningful information about the main parameters used in ranking systems, where applicable" } }, { "rule_id": "STD-2024-009", "title": "Interim Relief Consideration Factors", "rule_type": "obligation", "summary": "In deciding on interim relief, the Tribunal shall consider likelihood of success, balance of convenience, and public interest.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "consider specified factors", "modality": "shall consider", "object": "interim relief application", "conditions": [ "likelihood of success on merits", "balance of convenience between parties", "public interest considerations" ] }, "applicability": "Regulatory Appeals Tribunal when deciding interim relief applications", "severity": "medium", "category": "Procedural Compliance", "source_ref": { "page": 64, "clause": "Section 71.5 (Interim Relief)(b)", "text_snippet": "In deciding on interim relief, the Tribunal shall consider: (i) The likelihood of success on the merits of the appeal; (ii) The balance of convenience..." } }, { "rule_id": "STD-2024-009", "title": "License Suspension or Restriction", "rule_type": "power", "summary": "Regulatory authority may suspend or restrict licenses or authorisations of violators.", "core_obligation": { "actor": "Regulatory Authority", "action": "suspend or restrict licenses", "modality": "may", "object": "licenses or authorisations", "conditions": [] }, "applicability": "Licensed or authorised entities in violation of regulatory requirements.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.2(c)", "text_snippet": "Suspension or restriction of licenses or authorisations" } }, { "rule_id": "STD-2024-010", "title": "Public Consultation for Special Licenses", "rule_type": "obligation", "summary": "For Special Licenses or high-impact activities, the Competent Authority must publish application notices and invite public comments within [X] days.", "core_obligation": { "actor": "Competent Authority", "action": "publish notice and invite public comments", "modality": "shall", "object": "application notice", "conditions": [ "for Special Licenses or licenses for high-impact activities", "within [X] days" ] }, "applicability": "Applications for Special Licenses or high-impact activities.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.5(a)", "text_snippet": "For Special Licenses or licenses for high-impact activities, the Competent Authority shall publish a notice of the application and invite public comments within [X] days" } }, { "rule_id": "STD-2024-010", "title": "Online Accessibility and Regular Updates of Register", "rule_type": "obligation", "summary": "The license register must be accessible online and updated regularly.", "core_obligation": { "actor": "Competent Authority", "action": "make register accessible online and update regularly", "modality": "shall", "object": "license register", "conditions": [ "accessible online", "updated regularly" ] }, "applicability": "The public license register maintained by the Competent Authority.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 15, "clause": "Section 25.3(c)", "text_snippet": "The register shall be accessible online and updated regularly" } }, { "rule_id": "STD-2024-010", "title": "Mandatory License Revocation", "rule_type": "obligation", "summary": "The Competent Authority must revoke a license if the licensee has endangered a person, instructed staff to violate the Act, or obtained the license through corruption, fraud, or misrepresentation.", "core_obligation": { "actor": "Competent Authority", "action": "revoke license", "modality": "must", "object": "license", "conditions": [ "licensee has endangered a person", "licensee instructed staff to violate the Act", "license obtained through corruption, fraud or misrepresentation" ] }, "applicability": "All licenses where critical violations occur", "severity": "critical", "category": "Mandatory Sanctions", "source_ref": { "page": 16, "clause": "Section 27.4(a)", "text_snippet": "The Competent Authority must revoke a license if..." } }, { "rule_id": "STD-2024-010", "title": "Pro-Rata Refund for Surrendered Licenses", "rule_type": "power", "summary": "License fees may be partially refunded on a pro-rata basis if a license is surrendered before its expiry.", "core_obligation": { "actor": "Competent Authority", "action": "partially refund license fees", "modality": "may", "object": "license fees", "conditions": [ "if license is surrendered before expiry", "on a pro-rata basis" ] }, "applicability": "Licensees who surrender their licenses before expiry.", "severity": "low", "category": "Fee Refunds", "source_ref": { "page": 18, "clause": "28a.3(b)", "text_snippet": "License fees may be partially refunded if a license is surrendered before its expiry, on a pro-rata basis" } }, { "rule_id": "STD-2024-010", "title": "Participation in Industry Forums", "rule_type": "obligation", "summary": "CABs must participate in relevant industry forums and standards development activities.", "core_obligation": { "actor": "Designated CAB", "action": "participate", "modality": "shall", "object": "industry forums and standards development activities", "conditions": [ "relevant" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "low", "category": "Professional Development", "source_ref": { "page": 21, "clause": "Section 30.1(j)", "text_snippet": "Participate in relevant industry forums and standards development activities" } }, { "rule_id": "STD-2024-010", "title": "Public Record of CAB Sanctions", "rule_type": "obligation", "summary": "The Competent Authority must maintain a publicly accessible record of all sanctions imposed on CABs.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public record", "modality": "shall", "object": "sanctions imposed on CABs", "conditions": [ "record must be public" ] }, "applicability": "All CAB sanctions", "severity": "medium", "category": "Transparency", "source_ref": { "page": 23, "clause": "Section 32.3(c)", "text_snippet": "The Competent Authority shall maintain a public record of any sanctions imposed on CABs" } }, { "rule_id": "STD-2024-010", "title": "Power to Request Additional Information", "rule_type": "power", "summary": "The Competent Authority may request additional information or clarification from applicants during the assessment process.", "core_obligation": { "actor": "Competent Authority", "action": "request additional information or clarification", "modality": "may", "object": "additional information from applicant", "conditions": [ "during assessment of recognition application" ] }, "applicability": "Competent Authority during assessment of recognition applications.", "severity": "medium", "category": "Recognition Procedures", "source_ref": [ { "page": 28, "clause": "Section 40.4(c)", "text_snippet": "The Competent Authority may request additional information or clarification from the applicant", "_origin_rule_id": "STD-2024-010" }, { "page": 19, "clause": "Section 29.5(c)", "text_snippet": "The Competent Authority may request additional information or clarification from the applicant", "_origin_rule_id": "STD-2024-029.5-C" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-010", "title": "Class Action Standing", "rule_type": "power", "summary": "Multiple persons affected by the same decision may bring a class action before the Regulatory Appeals Tribunal.", "core_obligation": { "actor": "Multiple affected persons", "action": "bring class action", "modality": "may", "object": "class action appeal", "conditions": [ "affected by the same decision or action of the Competent Authority" ] }, "applicability": "Multiple persons affected by the same regulatory decision", "severity": "medium", "category": "Procedural Rights", "source_ref": { "page": 64, "clause": "Section 71.6(a)", "text_snippet": "Where multiple persons are affected by the same decision or action of the Competent Authority, they may bring a class action before the Regulatory Appeals Tribunal." } }, { "rule_id": "STD-2024-010", "title": "Mandatory Compliance Training", "rule_type": "power", "summary": "Regulatory authority may require violators to participate in mandatory compliance training programs.", "core_obligation": { "actor": "Regulatory Authority", "action": "require participation in compliance training", "modality": "may", "object": "mandatory compliance training programs", "conditions": [] }, "applicability": "Violators requiring enhanced understanding of compliance obligations.", "severity": "low", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.2(d)", "text_snippet": "Mandatory participation in compliance training programs" } }, { "rule_id": "STD-2024-010.1", "title": "Prosecution's Burden in Criminal Proceedings", "rule_type": "obligation", "summary": "In criminal proceedings under this Act, the prosecution must prove all elements of the offence beyond reasonable doubt.", "core_obligation": { "actor": "Prosecution", "action": "prove all elements of the offence", "modality": "bears the burden", "object": "all elements of the offence", "conditions": [ "beyond reasonable doubt", "in proceedings for an offence under this Act" ] }, "applicability": "All criminal proceedings under this Act.", "severity": "critical", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.1", "text_snippet": "In any proceedings for an offence under this Act, the prosecution bears the burden of proving all elements of the offence beyond reasonable doubt." } }, { "rule_id": "STD-2024-010.2", "title": "Accused's Burden for Defenses", "rule_type": "obligation", "summary": "When charged with an offence, the accused bears the burden of proving lawful authorization or reasonable excuse on the balance of probabilities.", "core_obligation": { "actor": "Accused", "action": "prove defense of lawful authorisation or reasonable excuse", "modality": "shall lie upon", "object": "defense of lawful authorisation or reasonable excuse", "conditions": [ "to be discharged on the balance of probabilities", "when charged with an offence under this Act" ] }, "applicability": "All persons charged with offences under this Act who raise defenses of lawful authorization or reasonable excuse.", "severity": "high", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.2", "text_snippet": "Notwithstanding subsection 10.1, where a person is charged with an offence under this Act, the burden of proving a defense of lawful authorisation or reasonable excuse shall lie upon the accused, to be discharged on the balance of probabilities." } }, { "rule_id": "STD-2024-010.3", "title": "Statutory Presumptions and Rebuttal", "rule_type": "obligation", "summary": "Courts must regard facts subject to statutory presumptions as proved unless rebutted on the balance of probabilities.", "core_obligation": { "actor": "Court", "action": "regard fact as proved unless contrary is proved", "modality": "shall regard", "object": "fact subject to statutory presumption", "conditions": [ "where this Act creates a presumption", "burden on party seeking to rebut on balance of probabilities" ] }, "applicability": "All proceedings where this Act creates a presumption with respect to any fact.", "severity": "high", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.3", "text_snippet": "Where this Act creates a presumption with respect to any fact, the court shall regard such fact as proved unless the contrary is proved, with the burden on the party seeking to rebut the presumption to be discharged on the balance of probabilities." } }, { "rule_id": "STD-2024-010.4", "title": "Standard of Proof in Civil Proceedings", "rule_type": "obligation", "summary": "In civil proceedings related to this Act, the standard of proof is on the balance of probabilities unless otherwise specified.", "core_obligation": { "actor": "Parties to civil proceedings", "action": "meet standard of proof", "modality": "shall be", "object": "standard of proof", "conditions": [ "on the balance of probabilities", "in civil proceedings related to this Act", "unless otherwise specified" ] }, "applicability": "All civil proceedings related to this Act.", "severity": "medium", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.4", "text_snippet": "In civil proceedings related to this Act, the standard of proof shall be on the balance of probabilities, unless otherwise specified." } }, { "rule_id": "STD-2024-010.5", "title": "Burden on Alleging Party", "rule_type": "obligation", "summary": "A party alleging contravention of this Act bears the burden of proving the contravention.", "core_obligation": { "actor": "Party alleging contravention", "action": "prove the contravention", "modality": "bears the burden", "object": "contravention of this Act", "conditions": [ "where a party alleges that a person has engaged in conduct in contravention of this Act" ] }, "applicability": "All proceedings under this Act where a party alleges contravention.", "severity": "medium", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.5", "text_snippet": "Where a party to proceedings under this Act alleges that a person has engaged in conduct in contravention of this Act, the party bears the burden of proving the contravention." } }, { "rule_id": "STD-2024-010.6", "title": "Reverse Burden for Special Positions of Responsibility", "rule_type": "obligation", "summary": "Persons in special positions of responsibility (licensees, certified entities) bear the burden of proving compliance with their obligations under this Act.", "core_obligation": { "actor": "Person in special position of responsibility (licensee or certified entity)", "action": "prove compliance with obligations", "modality": "shall bear the burden", "object": "compliance with obligations under this Act", "conditions": [ "where proceedings relate to a contravention by a person in a special position of responsibility or knowledge" ] }, "applicability": "Licensees and certified entities in proceedings relating to contraventions.", "severity": "high", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.6", "text_snippet": "Notwithstanding subsection 10.5, where proceedings relate to a contravention by a person in a special position of responsibility or knowledge (such as a licensee or certified entity), the person shall bear the burden of proving compliance with their obligations under this Act." } }, { "rule_id": "STD-2024-010.7", "title": "Authority's Power to Issue Burden of Proof Guidelines", "rule_type": "power", "summary": "The Competent Authority may issue guidelines on the practical application of burden of proof rules, including examples and case studies.", "core_obligation": { "actor": "Competent Authority", "action": "issue guidelines on burden of proof application", "modality": "may", "object": "guidelines on practical application of burden of proof rules", "conditions": [ "including examples and case studies" ] }, "applicability": "Competent Authority in relation to proceedings under this Act.", "severity": "low", "category": "Procedural/Evidence", "source_ref": { "page": 7, "clause": "Section 10.7", "text_snippet": "The Competent Authority may issue guidelines on the practical application of burden of proof rules in proceedings under this Act, including examples and case studies." } }, { "rule_id": "STD-2024-011", "title": "Consideration of Public Comments", "rule_type": "obligation", "summary": "The Competent Authority must consider all relevant public comments in its decision-making process for license applications.", "core_obligation": { "actor": "Competent Authority", "action": "consider public comments", "modality": "shall", "object": "all relevant public comments", "conditions": [ "in decision-making process" ] }, "applicability": "License applications subject to public consultation.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.5(b)", "text_snippet": "The Competent Authority shall consider all relevant public comments in its decision-making process" } }, { "rule_id": "STD-2024-011", "title": "Exceptional Circumstances Fee Refund", "rule_type": "power", "summary": "The Competent Authority may authorize a full or partial refund of any fee in exceptional circumstances.", "core_obligation": { "actor": "Competent Authority", "action": "authorize full or partial refund", "modality": "may", "object": "any fee paid under this Act", "conditions": [ "in exceptional circumstances" ] }, "applicability": "Competent Authority with discretion in exceptional cases.", "severity": "low", "category": "Fee Refunds", "source_ref": { "page": 18, "clause": "28a.3(c)", "text_snippet": "The Competent Authority may, in exceptional circumstances, authorise a full or partial refund of any fee paid under this Act." } }, { "rule_id": "STD-2024-011", "title": "CAB Impartiality Requirement", "rule_type": "obligation", "summary": "CABs must be impartial and avoid any conflict of interest in conformity assessment activities.", "core_obligation": { "actor": "Designated CAB", "action": "be impartial and avoid conflicts of interest", "modality": "shall", "object": "conformity assessment activities", "conditions": [ "avoid any conflict of interest" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "critical", "category": "Ethics", "source_ref": { "page": 21, "clause": "Section 30.2(a)(i)", "text_snippet": "A CAB shall be impartial and avoid any conflict of interest in its conformity assessment activities" } }, { "rule_id": "STD-2024-011", "title": "CAB Appeals Process", "rule_type": "obligation", "summary": "The Competent Authority must establish an appeals mechanism allowing CABs to challenge sanctions imposed upon them.", "core_obligation": { "actor": "Competent Authority", "action": "establish appeals process", "modality": "shall", "object": "appeals mechanism for CABs", "conditions": [ "to challenge sanctions" ] }, "applicability": "CABs subject to sanctions", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 23, "clause": "Section 32.3(d)", "text_snippet": "The Competent Authority shall establish an appeals process for CABs to challenge sanctions" } }, { "rule_id": "STD-2024-011", "title": "Assessment Completion Timeline", "rule_type": "obligation", "summary": "The Competent Authority must complete the assessment within a specified number of days from receipt of a complete application, with extension possible for complex cases.", "core_obligation": { "actor": "Competent Authority", "action": "complete assessment within timeframe", "modality": "shall", "object": "assessment of recognition application", "conditions": [ "within [X] days of receipt of complete application", "possibility of extension for complex cases" ] }, "applicability": "Competent Authority for all recognition application assessments.", "severity": "high", "category": "Recognition Procedures", "source_ref": [ { "page": 28, "clause": "Section 40.4(d)", "text_snippet": "The assessment shall be completed within [X] days of receipt of a complete application, with the possibility of extension for complex cases", "_origin_rule_id": "STD-2024-011" }, { "page": 19, "clause": "Section 29.5(d)", "text_snippet": "The assessment shall be completed within [X] days of receipt of a complete application", "_origin_rule_id": "STD-2024-029.5-D" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-011", "title": "Class Action Certification Requirements", "rule_type": "obligation", "summary": "To certify a class action, the Tribunal must be satisfied that there are common issues, class action is most efficient, and representative can fairly represent the class.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "certify class action", "modality": "must be satisfied", "object": "class action certification", "conditions": [ "common issues of fact or law exist", "class action is most efficient means", "representative plaintiff can fairly represent class interests" ] }, "applicability": "Regulatory Appeals Tribunal when class action certification is sought", "severity": "medium", "category": "Procedural Compliance", "source_ref": [ { "page": 64, "clause": "Section 71.6(b)", "text_snippet": "To certify a class action, the Tribunal must be satisfied that: (i) There are common issues of fact or law; (ii) A class action is the most efficient means...", "_origin_rule_id": "STD-2024-011" }, { "page": 64, "clause": "Section 71.6(b)", "text_snippet": "To certify a class action, the Tribunal must be satisfied that: (i) There are common issues of fact or law...", "_origin_rule_id": "STD-2024-071.6b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-011", "title": "Enhanced Compliance Monitoring Systems", "rule_type": "power", "summary": "Regulatory authority may require violators to implement enhanced compliance monitoring systems.", "core_obligation": { "actor": "Regulatory Authority", "action": "require implementation of enhanced monitoring", "modality": "may", "object": "enhanced compliance monitoring systems", "conditions": [] }, "applicability": "Violators requiring improved internal compliance oversight.", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.2(e)", "text_snippet": "Implementation of enhanced compliance monitoring systems" } }, { "rule_id": "STD-2024-011.1", "title": "General Territorial Jurisdiction", "rule_type": "obligation", "summary": "This Act applies to all activities, persons, and entities within the defined territory of State X, including land, internal waters, territorial sea, airspace, exclusive economic zone, and continental shelf.", "core_obligation": { "actor": "all activities, persons, and entities", "action": "comply with this Act", "modality": "applies to", "object": "all activities within State X territory", "conditions": [ "within land territory", "within internal waters", "within territorial sea", "within airspace above these areas", "within exclusive economic zone", "within continental shelf" ] }, "applicability": "All persons, entities, and activities within the territorial boundaries of State X as defined in subsections (a) through (f).", "severity": "critical", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 11.1", "text_snippet": "This Act applies to all activities, persons, and entities within the territory of [State X], including: (a) Land territory; (b) Internal waters..." } }, { "rule_id": "STD-2024-011.2", "title": "Extended Territorial Jurisdiction - Vessels and Aircraft", "rule_type": "definition", "summary": "Vessels and aircraft registered in State X are considered part of State X territory regardless of their physical location, extending the Act's jurisdiction extraterritorially.", "core_obligation": { "actor": "vessels and aircraft registered in State X, and artificial islands/installations in EEZ", "action": "be subject to this Act", "modality": "shall be considered", "object": "part of the territory of State X", "conditions": [ "vessels registered in State X, regardless of location", "aircraft registered in State X, regardless of location", "artificial islands, installations, and structures in EEZ or continental shelf under State X jurisdiction" ] }, "applicability": "All State X-registered vessels, aircraft, and offshore installations regardless of their geographic location.", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 11.2", "text_snippet": "For the purposes of this Act, the following shall be considered part of the territory of [State X]: (a) Vessels registered in [State X]..." } }, { "rule_id": "STD-2024-011.3", "title": "Antarctic Jurisdiction", "rule_type": "obligation", "summary": "This Act applies to activities in Antarctica where State X exercises jurisdiction under the Antarctic Treaty System.", "core_obligation": { "actor": "persons and entities conducting activities in Antarctica", "action": "comply with this Act", "modality": "shall apply", "object": "activities in Antarctica", "conditions": [ "where State X exercises jurisdiction under the Antarctic Treaty System" ] }, "applicability": "Activities conducted in Antarctica under State X jurisdiction as defined by the Antarctic Treaty System.", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 11.3", "text_snippet": "This Act shall apply to activities in Antarctica where [State X] exercises jurisdiction under the Antarctic Treaty System." } }, { "rule_id": "STD-2024-011.4", "title": "Outer Space Jurisdiction", "rule_type": "obligation", "summary": "This Act applies to activities in outer space and on celestial bodies that have effects on State X or are conducted by State X entities or individuals, in accordance with international space law.", "core_obligation": { "actor": "State X entities or individuals conducting activities in outer space", "action": "comply with this Act", "modality": "applies to", "object": "activities in outer space, including on celestial bodies", "conditions": [ "activities having effects on State X", "activities conducted by State X entities or individuals", "in accordance with international space law" ] }, "applicability": "State X entities and individuals conducting space activities, or any activities in outer space that affect State X.", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 8, "clause": "Section 11.4", "text_snippet": "This Act applies to activities having effects on [State X] or conducted by [State X] entities or individuals in outer space, including on celestial bodies..." } }, { "rule_id": "STD-2024-012", "title": "Publication of Public Comment Summary", "rule_type": "obligation", "summary": "The Competent Authority must publish a summary of public comments received and summarized responses as part of the decision-making process.", "core_obligation": { "actor": "Competent Authority", "action": "publish summary of comments and responses", "modality": "shall", "object": "summary of public comments and responses", "conditions": [ "as part of the decision-making process" ] }, "applicability": "License applications with public consultation.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 24.5(c)", "text_snippet": "The Competent Authority shall publish a summary of the public comments received and the summarised responses to those comments as part of the decision-making process" } }, { "rule_id": "STD-2024-012", "title": "Suspension/Revocation Notice Requirements", "rule_type": "obligation", "summary": "The Competent Authority must provide written notice of proposed suspension or revocation, stating grounds, facts, and the licensee's right to make representations.", "core_obligation": { "actor": "Competent Authority", "action": "give written notice", "modality": "shall", "object": "proposed suspension or revocation", "conditions": [ "stating grounds for action", "stating facts relied upon", "stating licensee's right to make representations" ] }, "applicability": "All suspension and revocation proceedings", "severity": "high", "category": "Procedural Fairness", "source_ref": [ { "page": 16, "clause": "Section 27.5(a)", "text_snippet": "The Competent Authority shall give the licensee written notice of the proposed suspension or revocation, stating...", "_origin_rule_id": "STD-2024-012" }, { "page": 31, "clause": "Section 44.2(a)", "text_snippet": "The Competent Authority shall give written notice of the proposed suspension or revocation, stating: (i) The grounds...", "_origin_rule_id": "STD-2024-044.2.a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-012", "title": "Prohibition on Consultancy Services", "rule_type": "obligation", "summary": "CABs must not provide consultancy services to entities they assess or have assessed during the last [X] years.", "core_obligation": { "actor": "Designated CAB", "action": "not provide consultancy services", "modality": "shall not", "object": "consultancy services", "conditions": [ "to entities it assesses", "to entities assessed during the last [X] years" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "critical", "category": "Ethics", "source_ref": { "page": 21, "clause": "Section 30.2(a)(ii)", "text_snippet": "A CAB shall not provide consultancy services to entities it assesses or has assessed during the last [X] years" } }, { "rule_id": "STD-2024-012", "title": "Proportionate Financial Penalties", "rule_type": "sanction", "summary": "Financial penalties imposed on CABs must be proportionate to the severity of the non-compliance.", "core_obligation": { "actor": "Competent Authority", "action": "impose financial penalties", "modality": "may", "object": "non-compliant CABs", "conditions": [ "penalties must be proportionate to severity of non-compliance" ] }, "applicability": "CABs subject to financial penalties", "severity": "high", "category": "Enforcement", "source_ref": { "page": 23, "clause": "Section 32.3(a)(vi)", "text_snippet": "Impose financial penalties proportionate to the severity of the non-compliance" } }, { "rule_id": "STD-2024-012", "title": "Class Action Procedural Requirements", "rule_type": "obligation", "summary": "The Tribunal shall establish procedures for notifying class members, opt-in/opt-out mechanisms, and distributing remedies.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "establish procedures", "modality": "shall", "object": "class action procedures", "conditions": [ "for notifying potential class members", "for opting in or out", "for distributing damages or remedies" ] }, "applicability": "Regulatory Appeals Tribunal in certified class actions", "severity": "medium", "category": "Procedural Compliance", "source_ref": { "page": 64, "clause": "Section 71.6(c)", "text_snippet": "The Tribunal shall establish procedures for: (i) Notifying potential class members; (ii) Opting in or out of the class; and (iii) Distributing any damages..." } }, { "rule_id": "STD-2024-012", "title": "Disgorgement of Violation Profits", "rule_type": "power", "summary": "Regulatory authority may require violators to disgorge profits derived from violations.", "core_obligation": { "actor": "Regulatory Authority", "action": "require disgorgement of profits", "modality": "may", "object": "profits derived from violations", "conditions": [ "profits must be derived from violations" ] }, "applicability": "Violations that generated economic benefit or profit for the violator.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.2(f)", "text_snippet": "Disgorgement of profits derived from violations" } }, { "rule_id": "STD-2024-012.1", "title": "Personal Scope of Application", "rule_type": "definition", "summary": "Defines the categories of persons and entities to whom this Act applies, including natural persons, legal persons, public entities, and actions affecting protected interests within State X.", "core_obligation": { "actor": "Regulatory Authority / State X", "action": "apply this Act to specified categories of persons and entities", "modality": "applies to", "object": "natural persons, legal persons, public entities, and actions affecting protected interests", "conditions": [ "Natural persons: residing in State X, OR engaged in covered activities in State X, OR citizens of State X conducting covered activities anywhere", "Legal persons: incorporated/registered in State X, OR having principal place of business in State X, OR engaged in covered activities in State X", "Public entities: operating within State X", "Actions: affecting protected interests of persons within State X, regardless of actor location" ] }, "applicability": "Universal - establishes jurisdictional scope for all provisions of this Act", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 9, "clause": "Section 12.1", "text_snippet": "This Act applies to: (a) All natural persons... (b) All legal persons... (c) All public entities... (d) All actions affecting [protected interests]..." } }, { "rule_id": "STD-2024-012.1a", "title": "Application to Natural Persons", "rule_type": "definition", "summary": "Specifies three bases for applying the Act to natural persons: territorial residence, territorial activity, or citizenship combined with covered activities.", "core_obligation": { "actor": "Natural persons", "action": "be subject to this Act", "modality": "applies to", "object": "natural persons meeting specified criteria", "conditions": [ "Residing within the territory of State X, OR", "Engaged in activities covered by this Act within State X territory (regardless of residence), OR", "Citizens of State X conducting activities covered by this Act (regardless of location)" ] }, "applicability": "All natural persons meeting any of the three specified criteria", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 9, "clause": "Section 12.1(a)", "text_snippet": "All natural persons: (i) Residing within the territory... (ii) Engaged in activities covered... (iii) Who are citizens of [State X]..." } }, { "rule_id": "STD-2024-012.1d", "title": "Extraterritorial Application Based on Effects", "rule_type": "definition", "summary": "Establishes effects-based jurisdiction: the Act applies to actions affecting protected interests of persons within State X, regardless of where the actor is located.", "core_obligation": { "actor": "Any person or entity", "action": "be subject to this Act when actions affect protected interests", "modality": "applies to", "object": "actions affecting protected interests of persons within State X", "conditions": [ "Actions affect protected interests of persons within the territory of State X", "Applies regardless of the actor's location (extraterritorial reach)" ] }, "applicability": "Any actor whose actions affect protected interests of persons within State X, regardless of actor's location", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 9, "clause": "Section 12.1(d)", "text_snippet": "All actions affecting [protected interests] of persons within the territory of [State X], regardless of the actor's location." } }, { "rule_id": "STD-2024-013", "title": "Representation Period for Suspension/Revocation", "rule_type": "obligation", "summary": "The licensee must be given [X] days to make representations before a suspension or revocation decision is finalized.", "core_obligation": { "actor": "Licensee", "action": "make representations", "modality": "shall have [X] days", "object": "representations against suspension/revocation", "conditions": [ "within [X] days of notice" ] }, "applicability": "All licensees facing suspension or revocation", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 16, "clause": "Section 27.5(b)", "text_snippet": "The licensee shall have [X] days to make representations" } }, { "rule_id": "STD-2024-013", "title": "Documentation of Conflict of Interest Safeguards", "rule_type": "obligation", "summary": "CABs must document and implement safeguards against conflicts of interest.", "core_obligation": { "actor": "Designated CAB", "action": "document and implement safeguards", "modality": "shall", "object": "safeguards against conflicts of interest", "conditions": [] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Ethics", "source_ref": { "page": 21, "clause": "Section 30.2(a)(iii)", "text_snippet": "A CAB shall document and implement safeguards against conflicts of interest" } }, { "rule_id": "STD-2024-013", "title": "Judicial Review Grounds", "rule_type": "power", "summary": "Decisions of the Regulatory Appeals Tribunal may be subject to judicial review by the High Court on specified grounds including lack of jurisdiction, error of law, procedural impropriety, or irrationality.", "core_obligation": { "actor": "Affected party", "action": "seek judicial review", "modality": "may be subject to", "object": "Tribunal decisions", "conditions": [ "on grounds of lack of jurisdiction", "error of law", "procedural impropriety", "irrationality or unreasonableness" ] }, "applicability": "Parties affected by Regulatory Appeals Tribunal decisions", "severity": "high", "category": "Judicial Oversight", "source_ref": [ { "page": 64, "clause": "Section 71.7(a)", "text_snippet": "Decisions of the Regulatory Appeals Tribunal may be subject to judicial review by the High Court on grounds of: (i) Lack of jurisdiction; (ii) Error of law...", "_origin_rule_id": "STD-2024-013" }, { "page": 64, "clause": "Section 71.7(a)", "text_snippet": "Decisions of the Regulatory Appeals Tribunal may be subject to judicial review by the High Court on grounds of: (i) Lack of jurisdiction; (ii) Error of law...", "_origin_rule_id": "STD-2024-071.7" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-013", "title": "Public Procurement Exclusion", "rule_type": "power", "summary": "Regulatory authority may exclude violators from public procurement processes for a specified period.", "core_obligation": { "actor": "Regulatory Authority", "action": "exclude from public procurement", "modality": "may", "object": "exclusion from public procurement processes", "conditions": [ "for a specified period" ] }, "applicability": "Violators who participate or seek to participate in public procurement.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 84, "clause": "Section 2.2(g)", "text_snippet": "Exclusion from public procurement processes for a specified period" } }, { "rule_id": "STD-2024-014", "title": "Consideration of Representations", "rule_type": "obligation", "summary": "The Competent Authority must consider any representations made by the licensee before making a final suspension or revocation decision.", "core_obligation": { "actor": "Competent Authority", "action": "consider representations", "modality": "shall", "object": "licensee representations", "conditions": [ "before making final decision" ] }, "applicability": "All suspension and revocation proceedings where representations are made", "severity": "high", "category": "Procedural Fairness", "source_ref": [ { "page": 16, "clause": "Section 27.5(c)", "text_snippet": "The Competent Authority shall consider any representations before making a final decision", "_origin_rule_id": "STD-2024-014" }, { "page": 31, "clause": "Section 44.2(c)", "text_snippet": "The Competent Authority shall consider any representations before making a final decision", "_origin_rule_id": "STD-2024-044.2.c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-014", "title": "Rotation of Assessment Personnel", "rule_type": "obligation", "summary": "CABs must rotate assessment personnel to prevent familiarity threats.", "core_obligation": { "actor": "Designated CAB", "action": "rotate assessment personnel", "modality": "shall", "object": "assessment personnel", "conditions": [ "to prevent familiarity threats" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Ethics", "source_ref": { "page": 21, "clause": "Section 30.2(a)(iv)", "text_snippet": "A CAB shall rotate assessment personnel to prevent familiarity threats" } }, { "rule_id": "STD-2024-014", "title": "Judicial Review Filing Deadline", "rule_type": "obligation", "summary": "Applications for judicial review must be filed within 60 days of the Tribunal's decision.", "core_obligation": { "actor": "Applicant for judicial review", "action": "file judicial review application", "modality": "must", "object": "judicial review application", "conditions": [ "within 60 days of the Tribunal's decision" ] }, "applicability": "Parties seeking judicial review of Tribunal decisions", "severity": "high", "category": "Procedural Compliance", "source_ref": { "page": 64, "clause": "Section 71.7(b)", "text_snippet": "Applications for judicial review must be filed within [60] days of the Tribunal's decision." } }, { "rule_id": "STD-2024-014.1", "title": "Prospective Application of Act", "rule_type": "applicability", "summary": "This Act applies to all activities, events, and circumstances occurring after its entry into force.", "core_obligation": { "actor": "All persons and entities subject to this Act", "action": "be subject to the provisions of this Act", "modality": "applies", "object": "all activities, events, and circumstances", "conditions": [ "occurring after entry into force of this Act" ] }, "applicability": "Universal - all activities, events, and circumstances post-entry into force.", "severity": "medium", "category": "Temporal Scope", "source_ref": { "page": 10, "clause": "Section 14.1", "text_snippet": "This Act applies to all activities, events, and circumstances occurring after its entry into force." } }, { "rule_id": "STD-2024-014.2", "title": "Application to Continuing Situations", "rule_type": "applicability", "summary": "For continuing situations that began before entry into force and persist after, this Act applies only to the portion occurring after entry into force.", "core_obligation": { "actor": "All persons and entities subject to this Act", "action": "be subject to this Act only for the post-entry portion", "modality": "applies only", "object": "continuing situations spanning entry into force", "conditions": [ "situation began before entry into force", "situation persists after entry into force", "only the part occurring after entry into force is covered" ] }, "applicability": "Continuing situations that span the entry into force date.", "severity": "medium", "category": "Temporal Scope", "source_ref": { "page": 10, "clause": "Section 14.2", "text_snippet": "With respect to continuing situations that began before the entry into force of this Act and persist after its entry into force, this Act applies only to that part of the situation that occurs after its entry into force." } }, { "rule_id": "STD-2024-014.3", "title": "Non-Retroactivity Principle", "rule_type": "prohibition", "summary": "This Act does not apply retroactively, except where expressly provided or where more favorable to the person concerned in matters of criminal liability or administrative sanctions.", "core_obligation": { "actor": "Authorities applying this Act", "action": "not apply this Act retroactively", "modality": "does not apply", "object": "provisions of this Act to events before entry into force", "conditions": [ "except where Act expressly provides for retroactive application", "except where more favorable to person concerned in criminal liability or administrative sanctions" ] }, "applicability": "Universal - fundamental principle governing temporal application of the Act.", "severity": "high", "category": "Temporal Scope", "source_ref": { "page": 10, "clause": "Section 14.3", "text_snippet": "This Act does not apply retroactively, except where: (a) It expressly provides for retroactive application; (b) It is more favorable to the person concerned in matters of [e.g., \"criminal liability\", \"administrative sanctions\"]." } }, { "rule_id": "STD-2024-014.4", "title": "Permissible Consideration of Pre-Entry Events", "rule_type": "power", "summary": "The non-retroactivity principle does not preclude consideration of events before entry into force for purposes of interpretation, determining behavior patterns, or assessing sanctions.", "core_obligation": { "actor": "Authorities, courts, and decision-makers", "action": "may consider pre-entry events for specified purposes", "modality": "does not preclude", "object": "events that occurred before entry into force", "conditions": [ "for interpreting provisions of this Act", "for determining patterns of behavior", "for assessing appropriateness of sanctions or remedies" ] }, "applicability": "Authorities and decision-makers applying or interpreting this Act.", "severity": "medium", "category": "Temporal Scope", "source_ref": { "page": 10, "clause": "Section 14.4", "text_snippet": "The non-retroactivity principle does not preclude the consideration of events that occurred before the entry into force of this Act for the purposes of: (a) Interpreting provisions of this Act; (b) Determining patterns of behavior; (c) Assessing the appropriateness of sanctions or remedies." } }, { "rule_id": "STD-2024-015", "title": "Final Decision Notification", "rule_type": "obligation", "summary": "The Competent Authority must notify the licensee in writing of its final suspension or revocation decision, including reasons.", "core_obligation": { "actor": "Competent Authority", "action": "notify in writing", "modality": "shall", "object": "final decision with reasons", "conditions": [] }, "applicability": "All suspension and revocation decisions", "severity": "high", "category": "Procedural Fairness", "source_ref": [ { "page": 16, "clause": "Section 27.5(d)", "text_snippet": "The Competent Authority shall notify the licensee in writing of its final decision, including reasons", "_origin_rule_id": "STD-2024-015" }, { "page": 31, "clause": "Section 44.2(d)", "text_snippet": "The Competent Authority shall notify the holder in writing of its final decision, including reasons", "_origin_rule_id": "STD-2024-044.2.d" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-015", "title": "Personnel Competence Requirements", "rule_type": "obligation", "summary": "CABs must employ personnel with necessary education, training, technical knowledge, and experience.", "core_obligation": { "actor": "Designated CAB", "action": "employ personnel", "modality": "shall", "object": "personnel with necessary qualifications", "conditions": [ "with necessary education", "with necessary training", "with technical knowledge", "with experience" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "critical", "category": "Human Resources", "source_ref": { "page": 21, "clause": "Section 30.2(b)(i)", "text_snippet": "A CAB shall employ personnel with the necessary education, training, technical knowledge, and experience" } }, { "rule_id": "STD-2024-015", "title": "High Court Remedial Powers", "rule_type": "power", "summary": "The High Court may quash decisions, prohibit breaches of natural justice, compel statutory duties, affirm/vary decisions, or substitute its own decision in exceptional cases.", "core_obligation": { "actor": "High Court", "action": "exercise remedial powers", "modality": "may", "object": "Tribunal decisions under judicial review", "conditions": [ "in exceptional cases for substitution of decision" ] }, "applicability": "High Court in judicial review proceedings", "severity": "high", "category": "Judicial Powers", "source_ref": { "page": 64, "clause": "Section 71.7(c)", "text_snippet": "The High Court may: (i) Quash the decision and remit it to the Tribunal for reconsideration; (ii) Prohibit the Tribunal from proceeding in breach of natural justice..." } }, { "rule_id": "STD-2024-015.1", "title": "Applicability Criteria for Online Activities and Digital Services", "rule_type": "definition", "summary": "The Act applies to online activities and digital services based on five jurisdictional criteria: origin, establishment, effects, offering to users, and targeting State X.", "core_obligation": { "actor": "Service providers and online activity operators", "action": "subject to Act's jurisdiction", "modality": "applies", "object": "online activities and digital services", "conditions": [ "activity originates from State X", "service provider is established in State X", "effects of activity are felt in State X", "service is offered to users in State X", "service is directed at State X (evidenced by language/currency use, ordering capability, or State X domain name)" ] }, "applicability": "All online activities and digital services meeting any of the specified criteria", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 10, "clause": "Section 15.1", "text_snippet": "This Act applies to online activities and digital services where: (a) The activity originates from [State X]..." } }, { "rule_id": "STD-2024-015.2a", "title": "Definition of Establishment in State X", "rule_type": "definition", "summary": "A service provider is deemed established in State X if it has its central administration or principal place of business there, regardless of infrastructure location.", "core_obligation": { "actor": "Service provider", "action": "deemed to be established", "modality": "is deemed", "object": "establishment status in State X", "conditions": [ "has central administration in State X OR principal place of business in State X", "regardless of technological infrastructure location" ] }, "applicability": "All service providers with central administration or principal place of business in State X", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 10, "clause": "Section 15.2(a)", "text_snippet": "A service provider is deemed to be established in [State X] if it has its central administration or principal place of business in [State X]..." } }, { "rule_id": "STD-2024-015.2b", "title": "Limitation on Mere Accessibility", "rule_type": "definition", "summary": "The mere accessibility of a digital service in State X does not alone constitute directing activities at State X.", "core_obligation": { "actor": "Service provider", "action": "not deemed to be directing activities", "modality": "does not constitute", "object": "jurisdictional targeting", "conditions": [ "mere accessibility in State X alone is insufficient" ] }, "applicability": "All digital services accessible in State X", "severity": "medium", "category": "Jurisdictional Scope", "source_ref": { "page": 10, "clause": "Section 15.2(b)", "text_snippet": "The mere accessibility of a digital service in [State X] does not alone constitute directing activities at [State X]." } }, { "rule_id": "STD-2024-015.3", "title": "Competent Authority Consideration Factors for Online Activities", "rule_type": "obligation", "summary": "The Competent Authority must consider four specific factors when applying the Act to online activities: global Internet nature, innovation/growth, fundamental rights, and technological neutrality.", "core_obligation": { "actor": "Competent Authority", "action": "take into account specified factors", "modality": "shall", "object": "application of Act to online activities", "conditions": [ "consider global nature of the Internet", "consider need to promote innovation and economic growth", "consider protection of fundamental rights (freedom of expression and privacy)", "consider principle of technological neutrality" ] }, "applicability": "Competent Authority when applying Act to online activities", "severity": "medium", "category": "Regulatory Process", "source_ref": { "page": 10, "clause": "Section 15.3", "text_snippet": "In applying this Act to online activities, the Competent Authority shall take into account: (a) The global nature of the Internet..." } }, { "rule_id": "STD-2024-015.4", "title": "Obligation to Issue Guidelines on Online Activities", "rule_type": "obligation", "summary": "The Competent Authority must issue guidelines on the application of the Act to specific types of online activities and digital services.", "core_obligation": { "actor": "Competent Authority", "action": "issue guidelines", "modality": "shall", "object": "guidelines on application of Act to specific online activities and digital services", "conditions": [] }, "applicability": "Competent Authority", "severity": "high", "category": "Regulatory Process", "source_ref": { "page": 10, "clause": "Section 15.4", "text_snippet": "The Competent Authority shall issue guidelines on the application of this Act to specific types of online activities and digital services." } }, { "rule_id": "STD-2024-015.5", "title": "Applicability to Decentralised Technologies", "rule_type": "definition", "summary": "The Act applies to decentralised technologies (blockchain, DAOs) based on four criteria: node/validator location, founder/developer residency, primary effects location, and significance of effects in State X.", "core_obligation": { "actor": "Operators of decentralised technologies", "action": "subject to Act's jurisdiction", "modality": "applies", "object": "decentralised technologies including blockchain-based services and DAOs", "conditions": [ "majority of nodes or validators are located in State X", "founders or core developers are citizens or residents of State X", "effects of technology's operation are primarily felt in State X", "effects felt in State X are significant" ] }, "applicability": "Decentralised technologies including blockchain-based services and DAOs meeting specified criteria", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 10, "clause": "Section 15.5", "text_snippet": "This Act applies to decentralised technologies, including but not limited to blockchain-based services and decentralised autonomous organisations (DAOs), where..." } }, { "rule_id": "STD-2024-015.6", "title": "Applicability to Artificial Intelligence Systems", "rule_type": "definition", "summary": "The Act applies to AI systems and automated decision-making processes that affect individuals or entities in State X, regardless of development or operation location.", "core_obligation": { "actor": "Operators of AI systems", "action": "subject to Act's jurisdiction", "modality": "applies", "object": "artificial intelligence systems and automated decision-making processes", "conditions": [ "affects individuals or entities in State X", "regardless of where system is developed or operated" ] }, "applicability": "All AI systems and automated decision-making processes affecting individuals or entities in State X", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 10, "clause": "Section 15.6", "text_snippet": "This Act applies to artificial intelligence systems and automated decision-making processes that affect individuals or entities in [State X]..." } }, { "rule_id": "STD-2024-016", "title": "Effect of License Suspension", "rule_type": "definition", "summary": "A suspended license is not valid for the period of suspension.", "core_obligation": { "actor": "N/A", "action": "license becomes invalid", "modality": "shall", "object": "suspended license", "conditions": [ "during suspension period" ] }, "applicability": "All suspended licenses", "severity": "high", "category": "License Status", "source_ref": { "page": 16, "clause": "Section 27.6(a)", "text_snippet": "A suspended license shall not be valid for the period of suspension" } }, { "rule_id": "STD-2024-016", "title": "Personnel Training and Monitoring Procedures", "rule_type": "obligation", "summary": "CABs must maintain and implement procedures for training and monitoring of personnel.", "core_obligation": { "actor": "Designated CAB", "action": "maintain and implement procedures", "modality": "shall", "object": "procedures for training and monitoring of personnel", "conditions": [] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Human Resources", "source_ref": { "page": 21, "clause": "Section 30.2(b)(ii)", "text_snippet": "A CAB shall maintain and implement procedures for training and monitoring of its personnel" } }, { "rule_id": "STD-2024-016", "title": "Costs Orders Power", "rule_type": "power", "summary": "The Tribunal may make orders as to costs, considering the outcome, conduct of parties, financial resources, and public interest nature of the case.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "make costs orders", "modality": "may", "object": "costs allocation", "conditions": [ "considering outcome of appeal", "conduct of parties", "financial resources of parties", "public interest nature" ] }, "applicability": "Regulatory Appeals Tribunal in all appeal proceedings", "severity": "medium", "category": "Procedural Powers", "source_ref": { "page": 64, "clause": "Section 71.8(a)", "text_snippet": "The Tribunal may make orders as to costs, considering: (i) The outcome of the appeal; (ii) The conduct of the parties; (iii) The financial resources..." } }, { "rule_id": "STD-2024-016-001", "title": "Hierarchy of International Treaties", "rule_type": "obligation", "summary": "In case of conflict between this Act and international treaties ratified by State X, the provisions of the international treaties shall prevail.", "core_obligation": { "actor": "All parties subject to this Act", "action": "apply international treaty provisions in case of conflict", "modality": "shall", "object": "international treaties ratified by State X", "conditions": [ "when conflict exists between this Act and international treaties" ] }, "applicability": "All entities and authorities applying this Act when conflicts arise with ratified international treaties.", "severity": "high", "category": "Legal Interpretation", "source_ref": { "page": 11, "clause": "Section 16.2(a)", "text_snippet": "In case of conflict between this Act and: (a) International treaties ratified by [State X], the provisions of the international treaties shall prevail" } }, { "rule_id": "STD-2024-016-002", "title": "Hierarchy Over Other National Laws", "rule_type": "obligation", "summary": "In case of conflict with other national laws, the provisions of this Act shall prevail unless the other law expressly provides otherwise or was adopted later.", "core_obligation": { "actor": "All parties subject to this Act", "action": "apply provisions of this Act in case of conflict", "modality": "shall", "object": "provisions of this Act", "conditions": [ "when conflict exists with other national laws", "unless the other law expressly provides otherwise", "unless the other law is adopted later than the respective provisions of this Act" ] }, "applicability": "All entities and authorities applying this Act when conflicts arise with other national legislation.", "severity": "high", "category": "Legal Interpretation", "source_ref": { "page": 11, "clause": "Section 16.2(b)", "text_snippet": "Other national laws, the provisions of this Act shall prevail unless the other law expressly provides otherwise [and/or the other law is adopted later than the respective provisions of this Act]" } }, { "rule_id": "STD-2024-016-003", "title": "Constitutional Rights Protection", "rule_type": "obligation", "summary": "Nothing in this Act shall be construed as limiting or derogating from any rights or protections provided under the Constitution or other fundamental rights instruments.", "core_obligation": { "actor": "All parties interpreting or applying this Act", "action": "not limit or derogate from constitutional and fundamental rights", "modality": "shall not", "object": "rights or protections under the Constitution and fundamental rights instruments", "conditions": [] }, "applicability": "All entities and authorities interpreting or applying provisions of this Act.", "severity": "critical", "category": "Fundamental Rights", "source_ref": { "page": 11, "clause": "Section 16.3", "text_snippet": "Nothing in this Act shall be construed as limiting or derogating from any rights or protections provided under: (a) The Constitution of [State X]; (b) [List other fundamental rights instruments]" } }, { "rule_id": "STD-2024-016-004", "title": "Legal Interaction Database Maintenance", "rule_type": "obligation", "summary": "The Competent Authority shall maintain and regularly update a publicly accessible database detailing the interaction between this Act and other relevant laws and regulations.", "core_obligation": { "actor": "Competent Authority", "action": "maintain and regularly update publicly accessible database", "modality": "shall", "object": "database detailing interaction between this Act and other laws", "conditions": [ "database must be publicly accessible", "must detail interaction with other relevant laws and regulations", "must be regularly updated" ] }, "applicability": "The Competent Authority responsible for administering this Act.", "severity": "medium", "category": "Transparency and Compliance", "source_ref": { "page": 11, "clause": "Section 16.4", "text_snippet": "The Competent Authority shall maintain and regularly update a publicly accessible database detailing the interaction between this Act and other relevant laws and regulations" } }, { "rule_id": "STD-2024-016-005", "title": "Regulatory Sandbox Establishment Power", "rule_type": "power", "summary": "The Competent Authority may establish regulatory sandboxes to test innovative products, services, or business models that may not fully comply with existing regulations, subject to specific conditions.", "core_obligation": { "actor": "Competent Authority", "action": "establish regulatory sandboxes", "modality": "may", "object": "regulatory sandboxes for testing innovative products, services, or business models", "conditions": [ "sandbox participants must adhere to specific consumer protection measures", "sandbox participants must adhere to risk mitigation measures", "duration and scope of sandbox must be clearly defined", "results must be used to inform potential regulatory updates" ] }, "applicability": "The Competent Authority when considering innovative regulatory approaches for products, services, or business models that may not fully comply with existing regulations.", "severity": "medium", "category": "Regulatory Innovation", "source_ref": { "page": 11, "clause": "Section 16.5", "text_snippet": "The Competent Authority may establish regulatory sandboxes to test innovative products, services, or business models that may not fully comply with existing regulations, provided that: (a) The sandbox participants adhere to specific consumer protection and risk mitigation measures; (b) The duration and scope of the sandbox are clearly defined; and (c) The results of the sandbox are used to inform potential regulatory updates" } }, { "rule_id": "STD-2024-017", "title": "Effect of License Revocation", "rule_type": "definition", "summary": "A revoked license ceases to be valid from the date of revocation.", "core_obligation": { "actor": "N/A", "action": "license ceases to be valid", "modality": "shall", "object": "revoked license", "conditions": [ "from date of revocation" ] }, "applicability": "All revoked licenses", "severity": "critical", "category": "License Status", "source_ref": { "page": 16, "clause": "Section 27.6(b)", "text_snippet": "A revoked license shall cease to be valid from the date of revocation" } }, { "rule_id": "STD-2024-017", "title": "Personnel Independence from External Pressures", "rule_type": "obligation", "summary": "CABs must ensure personnel are free from commercial, financial, or other pressures that might influence judgment.", "core_obligation": { "actor": "Designated CAB", "action": "ensure personnel independence", "modality": "shall", "object": "personnel freedom from pressures", "conditions": [ "free from commercial pressures", "free from financial pressures", "free from other pressures that might influence judgment" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "critical", "category": "Ethics", "source_ref": { "page": 21, "clause": "Section 30.2(b)(iii)", "text_snippet": "A CAB shall ensure that its personnel are free from any commercial, financial, or other pressures that might influence their judgment" } }, { "rule_id": "STD-2024-017", "title": "Filing Fee Requirements and Waivers", "rule_type": "obligation", "summary": "Filing fees shall be set at reasonable levels, and the Tribunal may waive fees in cases of financial hardship.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "set reasonable filing fees and waive when appropriate", "modality": "shall/may", "object": "filing fees", "conditions": [ "fees set at reasonable level", "may waive in cases of financial hardship" ] }, "applicability": "Regulatory Appeals Tribunal fee administration", "severity": "medium", "category": "Access to Justice", "source_ref": { "page": 64, "clause": "Section 71.8(b)(i-ii)", "text_snippet": "Filing fees for appeals shall be set at a reasonable level; (ii) The Tribunal may waive fees in cases of financial hardship..." } }, { "rule_id": "STD-2024-017.1", "title": "Extraterritorial Jurisdiction - State X Persons and Entities", "rule_type": "obligation", "summary": "The Act applies to conduct outside State X by citizens, permanent residents, or entities incorporated/registered in State X under specified conditions.", "core_obligation": { "actor": "Citizens, permanent residents, or entities incorporated or registered in State X", "action": "are subject to this Act for extraterritorial conduct", "modality": "applies to", "object": "conduct outside State X", "conditions": [ "conduct forms part of an offence where a constituent element occurred in State X", "conduct forms part of an offence intended to have or has substantial effect in State X", "conduct would constitute an offence if it occurred in State X and person/entity has not been prosecuted in another jurisdiction" ] }, "applicability": "Citizens, permanent residents, and entities incorporated or registered in State X engaging in conduct outside State X", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 11, "clause": "Section 17.1", "text_snippet": "This Act applies to conduct outside [State X] by a citizen, permanent resident, or entity incorporated or registered in [State X] if the conduct..." } }, { "rule_id": "STD-2024-017.2", "title": "Extraterritorial Jurisdiction - Any Person", "rule_type": "obligation", "summary": "The Act applies to conduct outside State X by any person if it affects protected interests, targets critical infrastructure, or involves bribery of State X officials.", "core_obligation": { "actor": "Any person", "action": "are subject to this Act for extraterritorial conduct", "modality": "applies to", "object": "conduct outside State X", "conditions": [ "conduct affects the protected interests of State X or its citizens", "conduct is directed against critical infrastructure of State X", "conduct involves the bribery of a State X public official" ] }, "applicability": "Any person (regardless of nationality or residence) engaging in specified conduct outside State X", "severity": "high", "category": "Jurisdictional Scope", "source_ref": { "page": 11, "clause": "Section 17.2", "text_snippet": "This Act applies to conduct outside [State X] by any person if the conduct: (a) Affects the [protected interests]..." } }, { "rule_id": "STD-2024-017.3", "title": "Factors for Exercising Extraterritorial Jurisdiction", "rule_type": "obligation", "summary": "The Competent Authority must consider specified factors when exercising jurisdiction over extraterritorial conduct.", "core_obligation": { "actor": "Competent Authority", "action": "consider specified factors", "modality": "shall", "object": "factors in exercising extraterritorial jurisdiction", "conditions": [ "extent of connection between conduct and State X", "impact of conduct on protected interests", "principle of comity and respect for sovereignty of other states", "likelihood of effective enforcement" ] }, "applicability": "Competent Authority when exercising jurisdiction over extraterritorial conduct", "severity": "medium", "category": "Procedural Requirements", "source_ref": { "page": 11, "clause": "Section 17.3", "text_snippet": "In exercising jurisdiction over extraterritorial conduct, the Competent Authority shall consider..." } }, { "rule_id": "STD-2024-017.4", "title": "Guidelines on Extraterritorial Jurisdiction", "rule_type": "obligation", "summary": "The Competent Authority must issue guidelines on the exercise of extraterritorial jurisdiction, including examples and case studies.", "core_obligation": { "actor": "Competent Authority", "action": "issue guidelines", "modality": "shall", "object": "guidelines on exercise of extraterritorial jurisdiction", "conditions": [ "guidelines must include examples and case studies" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "Administrative Requirements", "source_ref": { "page": 11, "clause": "Section 17.4", "text_snippet": "The Competent Authority shall issue guidelines on the exercise of extraterritorial jurisdiction under this Act..." } }, { "rule_id": "STD-2024-017.5a", "title": "International Cooperation in Extraterritorial Enforcement", "rule_type": "obligation", "summary": "The Competent Authority must seek cooperation with foreign authorities when exercising extraterritorial jurisdiction.", "core_obligation": { "actor": "Competent Authority", "action": "seek cooperation with foreign authorities", "modality": "shall", "object": "cooperation with relevant foreign authorities", "conditions": [ "when exercising extraterritorial jurisdiction" ] }, "applicability": "Competent Authority when exercising extraterritorial jurisdiction", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 11, "clause": "Section 17.5(a)", "text_snippet": "In exercising extraterritorial jurisdiction, the Competent Authority shall: (a) Seek cooperation with relevant foreign authorities..." } }, { "rule_id": "STD-2024-017.5b", "title": "Bilateral and Multilateral Agreements for Cross-Border Enforcement", "rule_type": "power", "summary": "The Competent Authority should consider entering into bilateral or multilateral agreements to facilitate cross-border enforcement of the Act.", "core_obligation": { "actor": "Competent Authority", "action": "consider entering into agreements", "modality": "shall consider", "object": "bilateral or multilateral agreements", "conditions": [ "to facilitate enforcement of this Act across borders" ] }, "applicability": "Competent Authority when exercising extraterritorial jurisdiction", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 11, "clause": "Section 17.5(b)", "text_snippet": "(b) Consider entering into bilateral or multilateral agreements to facilitate the enforcement of this Act across borders..." } }, { "rule_id": "STD-2024-017.5c", "title": "Respect for International Comity and Sovereign Equality", "rule_type": "obligation", "summary": "The Competent Authority must respect principles of international comity and sovereign equality of states when exercising extraterritorial jurisdiction.", "core_obligation": { "actor": "Competent Authority", "action": "respect international principles", "modality": "shall", "object": "principles of international comity and sovereign equality of states", "conditions": [ "when exercising extraterritorial jurisdiction" ] }, "applicability": "Competent Authority when exercising extraterritorial jurisdiction", "severity": "high", "category": "International Law Compliance", "source_ref": { "page": 11, "clause": "Section 17.5(c)", "text_snippet": "(c) Respect the principles of international comity and sovereign equality of states." } }, { "rule_id": "STD-2024-018", "title": "Immediate Cessation of Activities", "rule_type": "obligation", "summary": "The licensee must immediately cease all activities authorized by the license upon suspension or revocation.", "core_obligation": { "actor": "Licensee", "action": "cease all authorized activities", "modality": "shall", "object": "activities authorized by license", "conditions": [ "immediately upon suspension or revocation" ] }, "applicability": "All licensees whose licenses are suspended or revoked", "severity": "critical", "category": "Compliance Obligations", "source_ref": { "page": 16, "clause": "Section 27.6(c)", "text_snippet": "The licensee shall immediately cease all activities authorised by the license upon suspension or revocation" } }, { "rule_id": "STD-2024-018", "title": "Competency Management System Implementation", "rule_type": "obligation", "summary": "CABs must implement a competency management system including regular evaluations and continuous professional development.", "core_obligation": { "actor": "Designated CAB", "action": "implement", "modality": "shall", "object": "competency management system", "conditions": [ "including regular evaluations", "including continuous professional development" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Human Resources", "source_ref": { "page": 21, "clause": "Section 30.2(b)(iv)", "text_snippet": "A CAB shall implement a competency management system, including regular evaluations and continuous professional development" } }, { "rule_id": "STD-2024-018", "title": "Right to Representation", "rule_type": "power", "summary": "Parties may represent themselves or be represented by any person of their choice, not necessarily a lawyer.", "core_obligation": { "actor": "Parties to appeal", "action": "choose representation", "modality": "may", "object": "legal or non-legal representation", "conditions": [ "not necessarily a lawyer" ] }, "applicability": "All parties in Regulatory Appeals Tribunal proceedings", "severity": "medium", "category": "Access to Justice", "source_ref": { "page": 64, "clause": "Section 71.8(b)(iii)", "text_snippet": "Parties may represent themselves or be represented by any person of their choice, not necessarily a lawyer." } }, { "rule_id": "STD-2024-018.1", "title": "Permanent Exemptions from Act", "rule_type": "definition", "summary": "The Act does not apply to specific exempted activities such as armed forces activities during armed conflict and other specified exemptions.", "core_obligation": { "actor": "N/A", "action": "scope exclusion", "modality": "does not apply", "object": "specific exempted activities", "conditions": [ "activities of the armed forces during times of armed conflict", "other specified exemptions" ] }, "applicability": "Entities or activities falling within the specified exemption categories.", "severity": "medium", "category": "Scope and Definitions", "source_ref": { "page": 12, "clause": "Section 18.1", "text_snippet": "This Act does not apply to: (a) [Specific exemptions, e.g., 'activities of the armed forces during times of armed conflict']; (b) [Other exemptions]." } }, { "rule_id": "STD-2024-018.2", "title": "Government Power to Grant Discretionary Exemptions", "rule_type": "power", "summary": "The Government may grant full or partial exemptions from the Act for specific entities or activities in specific circumstances, subject to mandatory conditions including necessity, proportionality, time limitation, and protection of safeguarded interests.", "core_obligation": { "actor": "Government", "action": "grant exemptions", "modality": "may", "object": "specific entities or activities", "conditions": [ "in case of specific circumstances (e.g., public health emergency)", "exemption is necessary for specific purpose", "exemption is proportionate to the aim pursued", "exemption is limited in time and scope", "exemption does not unduly prejudice protected interests" ] }, "applicability": "Government when considering exemption requests during specified circumstances.", "severity": "high", "category": "Powers and Discretion", "source_ref": { "page": 12, "clause": "Section 18.2", "text_snippet": "The Government may, by [type of regulation], fully or partially exempt [specific entities or activities] from the application of this Act in case of [specific circumstances, e.g., 'a public health emergency'], provided that..." } }, { "rule_id": "STD-2024-018.3a", "title": "Publication Requirement for Exemptions", "rule_type": "obligation", "summary": "Any exemption granted under subsection 18.2 must be published in the Official Gazette.", "core_obligation": { "actor": "Government", "action": "publish exemption", "modality": "shall", "object": "granted exemptions", "conditions": [ "in the Official Gazette" ] }, "applicability": "All exemptions granted under section 18.2.", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 12, "clause": "Section 18.3(a)", "text_snippet": "Any exemption granted under subsection 18.2 shall be: (a) Published in the [Official Gazette]" } }, { "rule_id": "STD-2024-018.3b", "title": "Parliamentary Notification of Exemptions", "rule_type": "obligation", "summary": "Any exemption granted under subsection 18.2 must be notified to the relevant parliamentary committee within a specified number of days.", "core_obligation": { "actor": "Government", "action": "notify parliamentary committee", "modality": "shall", "object": "granted exemptions", "conditions": [ "within X days", "to relevant parliamentary committee" ] }, "applicability": "All exemptions granted under section 18.2.", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 12, "clause": "Section 18.3(b)", "text_snippet": "Notified to the [relevant parliamentary committee] within [X] days" } }, { "rule_id": "STD-2024-018.3c", "title": "Parliamentary Review of Exemptions", "rule_type": "power", "summary": "Exemptions granted under subsection 18.2 are subject to review by the relevant parliamentary committee, which may recommend revocation or modification, and further review by Parliament.", "core_obligation": { "actor": "Parliamentary committee", "action": "review exemptions", "modality": "may", "object": "granted exemptions", "conditions": [ "may recommend revocation or modification", "subject to further review by Parliament" ] }, "applicability": "Parliamentary committee reviewing exemptions granted under section 18.2.", "severity": "medium", "category": "Oversight and Governance", "source_ref": { "page": 12, "clause": "Section 18.3(c)", "text_snippet": "Subject to review by the [relevant parliamentary committee], which may recommend its revocation or modification, and subject to further review by the Parliament." } }, { "rule_id": "STD-2024-018.4", "title": "Public Register of Exemptions", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of all exemptions granted, including the reasons for granting them and their duration.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public register", "modality": "shall", "object": "all exemptions granted", "conditions": [ "including reasons for granting", "including duration" ] }, "applicability": "Competent Authority for all exemptions granted under this section.", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 12, "clause": "Section 18.4", "text_snippet": "The Competent Authority shall maintain a public register of all exemptions granted under this section, including the reasons for granting them and their duration." } }, { "rule_id": "STD-2024-018.5", "title": "Biennial Review of Exemptions", "rule_type": "obligation", "summary": "The Competent Authority must conduct a biennial review of all exemptions to assess their continued necessity and impact on the Act's objectives, and publish and submit the results to the relevant parliamentary committee.", "core_obligation": { "actor": "Competent Authority", "action": "conduct biennial review", "modality": "shall", "object": "all exemptions granted", "conditions": [ "assess continued necessity", "assess impact on Act's objectives", "publish results", "submit to relevant parliamentary committee" ] }, "applicability": "Competent Authority for all exemptions granted under this Act.", "severity": "medium", "category": "Compliance and Monitoring", "source_ref": { "page": 12, "clause": "Section 18.5", "text_snippet": "The Competent Authority shall conduct a biennial review of all exemptions granted under this Act to assess their continued necessity and impact on the Act's objectives. The results of this review shall be published and submitted to [relevant parliamentary committee]." } }, { "rule_id": "STD-2024-019", "title": "Severability of Provisions", "rule_type": "definition", "summary": "If any provision of this Act is held invalid, the invalidity does not affect other provisions or applications that can be given effect without the invalid provision.", "core_obligation": { "actor": "Courts/Legal Interpreters", "action": "apply severability principle to maintain validity of remaining provisions", "modality": "implicit shall", "object": "provisions of the Act", "conditions": [ "when any provision is held invalid", "other provisions can be given effect without the invalid provision" ] }, "applicability": "All provisions of this Act and their application to any person or circumstance.", "severity": "medium", "category": "Legal Framework", "source_ref": { "page": 12, "clause": "Section 19.1 and 19.2", "text_snippet": "If any provision of this Act or its application to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of the Act that can be given effect without the invalid provision or application. To this end, the provisions of this Act are severable." } }, { "rule_id": "STD-2024-019", "title": "License Document Return Requirement", "rule_type": "obligation", "summary": "The licensee must return the license document to the Competent Authority within [Y] days of suspension or revocation.", "core_obligation": { "actor": "Licensee", "action": "return license document", "modality": "shall", "object": "license document", "conditions": [ "within [Y] days of suspension or revocation" ] }, "applicability": "All licensees whose licenses are suspended or revoked", "severity": "medium", "category": "Administrative Compliance", "source_ref": { "page": 16, "clause": "Section 27.6(d)", "text_snippet": "The licensee shall return the license document to the Competent Authority within [Y] days of suspension or revocation" } }, { "rule_id": "STD-2024-019", "title": "Responsiveness to Complaints and Appeals", "rule_type": "obligation", "summary": "CABs must be responsive to complaints and appeals.", "core_obligation": { "actor": "Designated CAB", "action": "be responsive", "modality": "shall", "object": "complaints and appeals", "conditions": [] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Customer Service", "source_ref": { "page": 21, "clause": "Section 30.2(c)(i)", "text_snippet": "A CAB shall be responsive to complaints and appeals" } }, { "rule_id": "STD-2024-019", "title": "Costs in Public Interest Cases", "rule_type": "power", "summary": "Where an appeal raises important points of principle, the Tribunal may order that each party bear its own costs regardless of outcome.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "order costs allocation", "modality": "may", "object": "costs orders", "conditions": [ "where appeal raises important points of principle", "each party bears own costs regardless of outcome" ] }, "applicability": "Regulatory Appeals Tribunal in public interest appeals", "severity": "medium", "category": "Procedural Powers", "source_ref": { "page": 64, "clause": "Section 71.8(c)", "text_snippet": "Where an appeal raises important points of principle, the Tribunal may order that each party bear its own costs regardless of the outcome." } }, { "rule_id": "STD-2024-020", "title": "Right to Appeal Suspension or Revocation", "rule_type": "power", "summary": "The licensee may appeal a suspension or revocation decision to the Appeals Tribunal/Court within [Z] days of notification.", "core_obligation": { "actor": "Licensee", "action": "appeal decision", "modality": "may", "object": "suspension or revocation decision", "conditions": [ "within [Z] days of notification", "to Appeals Tribunal/Court" ] }, "applicability": "All licensees whose licenses are suspended or revoked", "severity": "high", "category": "Appeal Rights", "source_ref": { "page": 16, "clause": "Section 27.7(a)", "text_snippet": "The licensee may appeal the suspension or revocation decision to the [Appeals Tribunal/Court] within [Z] days" } }, { "rule_id": "STD-2024-020", "title": "Complaints and Appeals Procedure", "rule_type": "obligation", "summary": "CABs must maintain and implement a documented procedure for handling complaints and appeals.", "core_obligation": { "actor": "Designated CAB", "action": "maintain and implement", "modality": "shall", "object": "documented procedure for handling complaints and appeals", "conditions": [] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Customer Service", "source_ref": { "page": 21, "clause": "Section 30.2(c)(ii)", "text_snippet": "A CAB shall maintain and implement a documented procedure for handling complaints and appeals" } }, { "rule_id": "STD-2024-020", "title": "Enforceability of Tribunal Decisions", "rule_type": "obligation", "summary": "Decisions of the Tribunal shall be enforceable as if they were orders of the High Court.", "core_obligation": { "actor": "Enforcement authorities", "action": "enforce Tribunal decisions", "modality": "shall be enforceable", "object": "Tribunal decisions", "conditions": [ "as if they were orders of the High Court" ] }, "applicability": "All Tribunal decisions requiring enforcement", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 64, "clause": "Section 71.9(a)", "text_snippet": "Decisions of the Tribunal shall be enforceable as if they were orders of the High Court." } }, { "rule_id": "STD-2024-021", "title": "Appeal Resolution Timeline", "rule_type": "obligation", "summary": "Appeals against suspension or revocation must be heard and decided within [W] days to ensure timely resolution.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "hear and decide appeal", "modality": "shall", "object": "appeal", "conditions": [ "within [W] days" ] }, "applicability": "All appeals of suspension or revocation decisions", "severity": "high", "category": "Appeal Procedures", "source_ref": { "page": 16, "clause": "Section 27.7(b)", "text_snippet": "The appeal shall be heard and decided within [W] days to ensure timely resolution" } }, { "rule_id": "STD-2024-021", "title": "Notification of Systemic Complaints", "rule_type": "obligation", "summary": "CABs must inform the Competent Authority of complaints that may indicate systemic issues.", "core_obligation": { "actor": "Designated CAB", "action": "inform the Competent Authority", "modality": "shall", "object": "complaints indicating systemic issues", "conditions": [ "that may indicate systemic issues" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "high", "category": "Reporting", "source_ref": { "page": 21, "clause": "Section 30.2(c)(iii)", "text_snippet": "A CAB shall inform the Competent Authority of any complaints that may indicate systemic issues" } }, { "rule_id": "STD-2024-021", "title": "Non-Compliance Sanctions", "rule_type": "sanction", "summary": "Non-compliance with a Tribunal decision may result in contempt proceedings, additional penalties by the Competent Authority, or publication of non-compliance.", "core_obligation": { "actor": "Non-compliant party", "action": "face sanctions for non-compliance", "modality": "may result in", "object": "sanctions", "conditions": [ "contempt proceedings", "additional penalties", "publication of non-compliance" ] }, "applicability": "Parties subject to Tribunal decisions who fail to comply", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 64, "clause": "Section 71.9(b)", "text_snippet": "Non-compliance with a Tribunal decision may result in: (i) Contempt proceedings; (ii) Additional penalties imposed by the Competent Authority; (iii) Publication..." } }, { "rule_id": "STD-2024-021.1(a)", "title": "Definition: Offering an Advantage", "rule_type": "definition", "summary": "Defines what constitutes 'offering an advantage' including direct or indirect giving, affording, holding out, or promising any advantage by a person or anyone acting on their behalf.", "core_obligation": { "actor": "Any person", "action": "is deemed to offer an advantage when giving, affording, holding out, or promising any advantage", "modality": "definitional", "object": "advantage", "conditions": [ "directly or indirectly", "by themselves or through any other person acting on their behalf", "includes giving, affording, holding out, agreeing, undertaking, or promising", "to or for the benefit of or in trust for any other person" ] }, "applicability": "All persons subject to this Act", "severity": "high", "category": "Definitions", "source_ref": { "page": 13, "clause": "Section 21.1(a)", "text_snippet": "A person offers an advantage if they, or any other person acting on their behalf, directly or indirectly gives, affords, or holds out..." } }, { "rule_id": "STD-2024-021.1(b)", "title": "Definition: Soliciting an Advantage", "rule_type": "definition", "summary": "Defines what constitutes 'soliciting an advantage' including direct or indirect demanding, inviting, asking for, or indicating willingness to receive any advantage.", "core_obligation": { "actor": "Any person", "action": "is deemed to solicit an advantage when demanding, inviting, asking for, or indicating willingness to receive any advantage", "modality": "definitional", "object": "advantage", "conditions": [ "directly or indirectly", "by themselves or through any other person acting on their behalf", "includes demands, invites, asks for, or indicates willingness to receive", "whether for themselves or for any other person" ] }, "applicability": "All persons subject to this Act", "severity": "high", "category": "Definitions", "source_ref": { "page": 13, "clause": "Section 21.1(b)", "text_snippet": "A person solicits an advantage if they, or any other person acting on their behalf, directly or indirectly demands, invites, asks for..." } }, { "rule_id": "STD-2024-021.1(c)", "title": "Definition: Accepting an Advantage", "rule_type": "definition", "summary": "Defines what constitutes 'accepting an advantage' including direct or indirect taking, receiving, obtaining, or agreeing to take any advantage.", "core_obligation": { "actor": "Any person", "action": "is deemed to accept an advantage when taking, receiving, obtaining, or agreeing to take any advantage", "modality": "definitional", "object": "advantage", "conditions": [ "directly or indirectly", "by themselves or through any other person acting on their behalf", "includes takes, receives, obtains, or agrees to take, receive, or obtain", "whether for themselves or for any other person" ] }, "applicability": "All persons subject to this Act", "severity": "high", "category": "Definitions", "source_ref": { "page": 13, "clause": "Section 21.1(c)", "text_snippet": "A person accepts an advantage if they, or any other person acting on their behalf, directly or indirectly takes, receives, or obtains..." } }, { "rule_id": "STD-2024-021.2(a)", "title": "Interpretation Rule: Singular and Plural", "rule_type": "definition", "summary": "Words in the singular include the plural and vice versa throughout this Act.", "core_obligation": { "actor": "All interpreters of this Act", "action": "must interpret singular words to include plural and vice versa", "modality": "interpretive", "object": "words in this Act", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act", "severity": "low", "category": "Interpretation", "source_ref": { "page": 13, "clause": "Section 21.2(a)", "text_snippet": "Words in the singular include the plural and vice versa." } }, { "rule_id": "STD-2024-021.2(b)", "title": "Interpretation Rule: Gender", "rule_type": "definition", "summary": "Words importing a gender include every other gender throughout this Act.", "core_obligation": { "actor": "All interpreters of this Act", "action": "must interpret gender-specific words to include all genders", "modality": "interpretive", "object": "words importing gender", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act", "severity": "low", "category": "Interpretation", "source_ref": { "page": 13, "clause": "Section 21.2(b)", "text_snippet": "Words importing a gender include every other gender." } }, { "rule_id": "STD-2024-021.2(c)", "title": "Definition: Person", "rule_type": "definition", "summary": "A reference to a person includes both natural persons (individuals) and legal persons (entities such as corporations).", "core_obligation": { "actor": "All interpreters of this Act", "action": "must interpret 'person' to include both natural and legal persons", "modality": "definitional", "object": "the term 'person'", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act", "severity": "medium", "category": "Definitions", "source_ref": { "page": 13, "clause": "Section 21.2(c)", "text_snippet": "A reference to a person includes both natural and legal persons." } }, { "rule_id": "STD-2024-021.2(d)", "title": "Interpretation Rule: Section References", "rule_type": "definition", "summary": "A reference to a section by number refers to the section of this Act so numbered.", "core_obligation": { "actor": "All interpreters of this Act", "action": "must interpret section references as referring to sections of this Act", "modality": "interpretive", "object": "section references by number", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act", "severity": "low", "category": "Interpretation", "source_ref": { "page": 13, "clause": "Section 21.2(d)", "text_snippet": "A reference to a section by number is a reference to the section of this Act so numbered." } }, { "rule_id": "STD-2024-021.2(e)", "title": "Interpretation Rule: References to Legislation", "rule_type": "definition", "summary": "A reference to any legislation or regulation includes any amendment, replacement, or re-enactment of that legislation or regulation.", "core_obligation": { "actor": "All interpreters of this Act", "action": "must interpret references to legislation to include amendments, replacements, and re-enactments", "modality": "interpretive", "object": "references to legislation or regulation", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 13, "clause": "Section 21.2(e)", "text_snippet": "A reference to any legislation or regulation includes any amendment, replacement, or re-enactment of that legislation or regulation." } }, { "rule_id": "STD-2024-021.2(f)", "title": "Interpretation Rule: References to Other Documents", "rule_type": "definition", "summary": "A reference to any other document does not include any amendment, replacement, or re-enactment thereof.", "core_obligation": { "actor": "All interpreters of this Act", "action": "must interpret references to other documents as referring only to the original version", "modality": "interpretive", "object": "references to other documents", "conditions": [ "does not include amendments, replacements, or re-enactments", "unless the context otherwise requires" ] }, "applicability": "All provisions of this Act", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 13, "clause": "Section 21.2(f)", "text_snippet": "A reference to any other document does not include any amendment, replacement, or re-enactment thereof." } }, { "rule_id": "STD-2024-022", "title": "Publication of Anonymised Complaint Summaries", "rule_type": "obligation", "summary": "CABs must publish anonymised summaries of complaints and their resolutions annually.", "core_obligation": { "actor": "Designated CAB", "action": "publish", "modality": "shall", "object": "anonymised summaries of complaints and resolutions", "conditions": [ "annually" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "medium", "category": "Transparency", "source_ref": { "page": 21, "clause": "Section 30.2(c)(iv)", "text_snippet": "A CAB shall publish anonymised summaries of complaints and their resolutions annually" } }, { "rule_id": "STD-2024-022", "title": "Annual Report Publication Requirement", "rule_type": "obligation", "summary": "The Tribunal shall publish an annual report including statistics on appeals, summaries of significant decisions, and recommendations for regulatory improvements.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "publish annual report", "modality": "shall", "object": "annual report", "conditions": [ "including statistics on appeals", "summaries of significant decisions", "recommendations for regulatory framework improvements" ] }, "applicability": "Regulatory Appeals Tribunal annually", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 64, "clause": "Section 71.10(a)", "text_snippet": "The Tribunal shall publish an annual report including: (i) Statistics on appeals received, disposed, and pending; (ii) Summaries of significant decisions..." } }, { "rule_id": "STD-2024-022.1", "title": "Competent Authority's Power to Issue Interpretative Guidelines", "rule_type": "power", "summary": "The Competent Authority may issue interpretative guidelines to clarify the meaning and application of definitions in specific contexts.", "core_obligation": { "actor": "Competent Authority", "action": "issue interpretative guidelines", "modality": "may", "object": "interpretative guidelines for definitions", "conditions": [ "to clarify meaning and application in specific contexts" ] }, "applicability": "Competent Authority when clarification of definitions is needed.", "severity": "medium", "category": "Empowerment", "source_ref": { "page": 13, "clause": "Section 22.1", "text_snippet": "The Competent Authority may issue interpretative guidelines to clarify the meaning and application of these definitions in specific contexts." } }, { "rule_id": "STD-2024-022.2", "title": "Minister's Power to Amend Definitions by Regulation", "rule_type": "power", "summary": "The Minister may amend or add to definitions by regulation to ensure effective implementation of the Act, subject to procedural safeguards.", "core_obligation": { "actor": "Minister", "action": "amend or add to definitions by regulation", "modality": "may", "object": "definitions", "conditions": [ "to ensure effective implementation of the Act", "subject to public comment requirements", "subject to parliamentary oversight" ] }, "applicability": "Minister when amendments or additions to definitions are necessary.", "severity": "high", "category": "Empowerment", "source_ref": { "page": 13, "clause": "Section 22.2", "text_snippet": "The Minister may, by regulation, amend or add to these definitions as necessary to ensure the effective implementation of this Act, subject to the following conditions..." } }, { "rule_id": "STD-2024-022.2(a)", "title": "Public Comment Requirement for Definition Amendments", "rule_type": "obligation", "summary": "Any proposed amendment or addition to definitions must be published for public comment at least 30 days before it is made.", "core_obligation": { "actor": "Minister", "action": "publish for public comment", "modality": "must", "object": "proposed amendment or addition to definitions", "conditions": [ "at least 30 days before the amendment is made" ] }, "applicability": "Minister when proposing amendments or additions to definitions.", "severity": "high", "category": "Procedural Requirement", "source_ref": { "page": 13, "clause": "Section 22.2(a)", "text_snippet": "Any proposed amendment or addition must be published for public comment at least 30 days before it is made." } }, { "rule_id": "STD-2024-022.2(b)", "title": "Obligation to Consider Public Comments", "rule_type": "obligation", "summary": "The Minister must consider all comments received during the public comment period for proposed definition amendments.", "core_obligation": { "actor": "Minister", "action": "consider all comments received", "modality": "must", "object": "comments received during public comment period", "conditions": [] }, "applicability": "Minister after public comment period for definition amendments.", "severity": "medium", "category": "Procedural Requirement", "source_ref": { "page": 13, "clause": "Section 22.2(b)", "text_snippet": "The Minister must consider all comments received during the public comment period." } }, { "rule_id": "STD-2024-022.2(c)", "title": "Parliamentary Oversight of Definition Amendments", "rule_type": "obligation", "summary": "Any amendment or addition to definitions must be laid before Parliament and is subject to annulment by resolution within 40 sitting days.", "core_obligation": { "actor": "Minister", "action": "lay before Parliament", "modality": "must", "object": "any amendment or addition to definitions", "conditions": [ "subject to annulment by resolution of Parliament", "within 40 sitting days" ] }, "applicability": "Minister when making amendments or additions to definitions.", "severity": "high", "category": "Parliamentary Oversight", "source_ref": { "page": 13, "clause": "Section 22.2(c)", "text_snippet": "Any amendment or addition must be laid before Parliament and is subject to annulment by resolution of Parliament within 40 sitting days." } }, { "rule_id": "STD-2024-022.3", "title": "Maintenance and Public Access to Consolidated Definitions List", "rule_type": "obligation", "summary": "The Competent Authority shall maintain a consolidated list of all definitions, including amendments, and make it freely accessible to the public.", "core_obligation": { "actor": "Competent Authority", "action": "maintain and make freely accessible", "modality": "shall", "object": "consolidated list of all definitions", "conditions": [ "including any amendments or additions", "made freely accessible to the public" ] }, "applicability": "Competent Authority on an ongoing basis.", "severity": "medium", "category": "Transparency and Access", "source_ref": { "page": 13, "clause": "Section 22.3", "text_snippet": "A consolidated list of all definitions, including any amendments or additions, shall be maintained by the Competent Authority and made freely accessible to the public." } }, { "rule_id": "STD-2024-023", "title": "Power to Subcontract Assessment Tasks", "rule_type": "power", "summary": "CABs may subcontract specific conformity assessment tasks subject to specified conditions.", "core_obligation": { "actor": "Designated CAB", "action": "subcontract", "modality": "may", "object": "specific tasks related to conformity assessment", "conditions": [ "subcontractor meets relevant requirements", "CAB informs client and obtains consent", "CAB retains full responsibility", "CAB has procedures to assess and monitor subcontractor competence" ] }, "applicability": "All designated Conformity Assessment Bodies", "severity": "medium", "category": "Operations", "source_ref": { "page": 21, "clause": "Section 30.3(a)", "text_snippet": "A CAB may subcontract specific tasks related to conformity assessment, provided that..." } }, { "rule_id": "STD-2024-023", "title": "Annual Report Distribution Requirements", "rule_type": "obligation", "summary": "The annual report shall be submitted to Parliament, made publicly available on the Tribunal's website, and used to inform regulatory system improvements.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "distribute and utilize annual report", "modality": "shall be", "object": "annual report", "conditions": [ "submitted to Parliament", "made publicly available on website", "used to inform ongoing improvements" ] }, "applicability": "Regulatory Appeals Tribunal annual reporting process", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 64, "clause": "Section 71.10(b)", "text_snippet": "This report shall be: (i) Submitted to Parliament; (ii) Made publicly available on the Tribunal's website; (iii) Used to inform ongoing improvements..." } }, { "rule_id": "STD-2024-024", "title": "Subcontractor Requirements - Compliance", "rule_type": "obligation", "summary": "When subcontracting, the subcontractor must meet the relevant requirements of the Act.", "core_obligation": { "actor": "Subcontractor", "action": "meet requirements", "modality": "must", "object": "relevant requirements of this Act", "conditions": [ "when engaged by CAB" ] }, "applicability": "Subcontractors engaged by designated CABs", "severity": "high", "category": "Compliance", "source_ref": { "page": 21, "clause": "Section 30.3(a)(i)", "text_snippet": "The subcontractor meets the relevant requirements of this Act" } }, { "rule_id": "STD-2024-025", "title": "Client Notification and Consent for Subcontracting", "rule_type": "obligation", "summary": "CABs must inform clients and obtain consent before subcontracting assessment tasks.", "core_obligation": { "actor": "Designated CAB", "action": "inform client and obtain consent", "modality": "must", "object": "subcontracting arrangement", "conditions": [ "before subcontracting" ] }, "applicability": "CABs engaging subcontractors", "severity": "high", "category": "Transparency", "source_ref": { "page": 21, "clause": "Section 30.3(a)(ii)", "text_snippet": "The CAB informs the client and obtains their consent" } }, { "rule_id": "STD-2024-026", "title": "CAB Responsibility for Subcontracted Work", "rule_type": "obligation", "summary": "CABs retain full responsibility for subcontracted work.", "core_obligation": { "actor": "Designated CAB", "action": "retain full responsibility", "modality": "must", "object": "subcontracted work", "conditions": [] }, "applicability": "CABs engaging subcontractors", "severity": "high", "category": "Accountability", "source_ref": { "page": 21, "clause": "Section 30.3(a)(iii)", "text_snippet": "The CAB retains full responsibility for the subcontracted work" } }, { "rule_id": "STD-2024-026-A", "title": "Notification Timeline for Renewal Decision", "rule_type": "obligation", "summary": "The Competent Authority must inform the licensee of the renewal decision within a specified timeframe after the decision is made.", "core_obligation": { "actor": "Competent Authority", "action": "inform the licensee of renewal decision", "modality": "shall", "object": "renewal decision notification", "conditions": [ "not later than [X] [time unit name] after the decision is provided" ] }, "applicability": "All license renewal proceedings under the Competent Authority's jurisdiction.", "severity": "medium", "category": "Administrative Procedure", "source_ref": [ { "page": 16, "clause": "Section 26(a)", "text_snippet": "The Competent Authority shall inform the licensee of its decision on the renewal not later than [X] [time unit name] after the decision is provided", "_origin_rule_id": "STD-2024-026-A" }, { "page": 16, "clause": "26.3(a)", "text_snippet": "The Competent Authority shall inform the licensee of its decision on the renewal at least [Y] days before the expiry of the current license, and no later than [X] [time unit name] after the renewal application submission", "_origin_rule_id": "STD-2024-026.3a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-026-B", "title": "Power to Modify License Conditions Upon Renewal", "rule_type": "power", "summary": "The Competent Authority has discretionary power to modify the conditions of a license when granting renewal.", "core_obligation": { "actor": "Competent Authority", "action": "modify the conditions of the license", "modality": "may", "object": "license conditions", "conditions": [ "if renewal is granted" ] }, "applicability": "Applies when the Competent Authority grants a license renewal.", "severity": "medium", "category": "Licensing Authority", "source_ref": { "page": 16, "clause": "Section 26(b)", "text_snippet": "If renewal is granted, the Competent Authority may modify the conditions of the license" } }, { "rule_id": "STD-2024-026-C", "title": "Obligation to Provide Reasons for Renewal Refusal", "rule_type": "obligation", "summary": "The Competent Authority must provide sound reasons when refusing to renew a license.", "core_obligation": { "actor": "Competent Authority", "action": "provide reasons for refusal", "modality": "shall", "object": "sound reasons", "conditions": [ "if renewal is refused" ] }, "applicability": "Applies when the Competent Authority refuses a license renewal application.", "severity": "high", "category": "Administrative Procedure", "source_ref": { "page": 16, "clause": "Section 26(c)", "text_snippet": "If renewal is refused, the Competent Authority shall provide [sound] reasons for the refusal" } }, { "rule_id": "STD-2024-026.1a", "title": "Renewal Application Timeline - Licensee Right", "rule_type": "power", "summary": "A licensee may apply for renewal of a license not later than [X] months before its expiry.", "core_obligation": { "actor": "Licensee", "action": "apply for renewal of license", "modality": "may", "object": "license renewal application", "conditions": [ "not later than [X] months before license expiry" ] }, "applicability": "All licensees seeking to renew their licenses.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.1(a)", "text_snippet": "A licensee may apply for renewal of a license not later than [X] months before its expiry" } }, { "rule_id": "STD-2024-026.1b", "title": "Renewal Application Form and Fee Requirements", "rule_type": "obligation", "summary": "The renewal application shall be in the prescribed form and accompanied by the prescribed fee.", "core_obligation": { "actor": "Licensee", "action": "submit renewal application in prescribed form with prescribed fee", "modality": "shall", "object": "renewal application", "conditions": [ "in prescribed form", "accompanied by prescribed fee" ] }, "applicability": "All licensees submitting renewal applications.", "severity": "high", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.1(b)", "text_snippet": "The renewal application shall be in the prescribed form and accompanied by the prescribed fee" } }, { "rule_id": "STD-2024-026.1c", "title": "Authority's Power to Request Updated Information", "rule_type": "power", "summary": "The Competent Authority may require updated information or documents as part of the renewal process.", "core_obligation": { "actor": "Competent Authority", "action": "require updated information or documents", "modality": "may", "object": "updated information or documents", "conditions": [ "as part of the renewal process" ] }, "applicability": "Competent Authority during renewal application review.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.1(c)", "text_snippet": "The Competent Authority may require updated information or documents as part of the renewal process" } }, { "rule_id": "STD-2024-026.1d", "title": "Renewal Decision Timeline Obligation", "rule_type": "obligation", "summary": "The Competent Authority shall provide a decision on the renewal application at least [Y] days before the expiry of the current license and no later than [X] time units after submission.", "core_obligation": { "actor": "Competent Authority", "action": "provide decision on renewal application", "modality": "shall", "object": "renewal decision", "conditions": [ "at least [Y] days before expiry of current license", "no later than [X] [time unit name] after renewal application submission", "to ensure continuity of operations" ] }, "applicability": "Competent Authority processing all renewal applications.", "severity": "high", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.1(d)", "text_snippet": "The Competent Authority shall provide a decision on the renewal application at least [Y] days before the expiry of the current license to ensure continuity of operations, and no later than [X] [time unit name] after the renewal application submission" } }, { "rule_id": "STD-2024-026.2", "title": "Renewal Assessment Criteria", "rule_type": "obligation", "summary": "In considering a renewal application, the Competent Authority shall take into account the licensee's compliance history, changes in circumstances, continued suitability, and public interest considerations.", "core_obligation": { "actor": "Competent Authority", "action": "take into account specified criteria when considering renewal", "modality": "shall", "object": "renewal application assessment", "conditions": [ "licensee's compliance history", "any changes in circumstances since original license was issued", "continued suitability of the licensee", "public interest considerations" ] }, "applicability": "Competent Authority when assessing all renewal applications.", "severity": "high", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.2", "text_snippet": "In considering a renewal application, the Competent Authority shall take into account: (a) The licensee's compliance history; (b) Any changes in circumstances since the original license was issued; (c) The continued suitability of the licensee; and (d) Public interest considerations" } }, { "rule_id": "STD-2024-026.2a", "title": "Compliance History Assessment Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall consider the licensee's compliance history when reviewing renewal applications.", "core_obligation": { "actor": "Competent Authority", "action": "consider compliance history", "modality": "shall", "object": "licensee's compliance history", "conditions": [ "as part of renewal assessment" ] }, "applicability": "Competent Authority during renewal application review.", "severity": "high", "category": "Compliance", "source_ref": { "page": 16, "clause": "26.2(a)", "text_snippet": "The licensee's compliance history" } }, { "rule_id": "STD-2024-026.2b", "title": "Changed Circumstances Assessment Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall consider any changes in circumstances since the original license was issued when reviewing renewal applications.", "core_obligation": { "actor": "Competent Authority", "action": "consider changes in circumstances", "modality": "shall", "object": "changes in circumstances since original license issuance", "conditions": [ "as part of renewal assessment" ] }, "applicability": "Competent Authority during renewal application review.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.2(b)", "text_snippet": "Any changes in circumstances since the original license was issued" } }, { "rule_id": "STD-2024-026.2c", "title": "Continued Suitability Assessment Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall assess the continued suitability of the licensee when reviewing renewal applications.", "core_obligation": { "actor": "Competent Authority", "action": "assess continued suitability", "modality": "shall", "object": "continued suitability of the licensee", "conditions": [ "as part of renewal assessment" ] }, "applicability": "Competent Authority during renewal application review.", "severity": "high", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.2(c)", "text_snippet": "The continued suitability of the licensee" } }, { "rule_id": "STD-2024-026.2d", "title": "Public Interest Consideration Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall consider public interest when reviewing renewal applications.", "core_obligation": { "actor": "Competent Authority", "action": "consider public interest", "modality": "shall", "object": "public interest considerations", "conditions": [ "as part of renewal assessment" ] }, "applicability": "Competent Authority during renewal application review.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 16, "clause": "26.2(d)", "text_snippet": "Public interest considerations" } }, { "rule_id": "STD-2024-027", "title": "Subcontractor Assessment and Monitoring Procedures", "rule_type": "obligation", "summary": "CABs must have procedures to assess and monitor the competence of subcontractors.", "core_obligation": { "actor": "Designated CAB", "action": "have procedures", "modality": "must", "object": "procedures to assess and monitor subcontractor competence", "conditions": [] }, "applicability": "CABs engaging subcontractors", "severity": "high", "category": "Quality Assurance", "source_ref": { "page": 21, "clause": "Section 30.3(a)(iv)", "text_snippet": "The CAB has procedures to assess and monitor the competence of subcontractors" } }, { "rule_id": "STD-2024-028", "title": "Subcontractor Register Maintenance", "rule_type": "obligation", "summary": "CABs must maintain a register of subcontractors and make it available to the Competent Authority upon request.", "core_obligation": { "actor": "Designated CAB", "action": "maintain register", "modality": "shall", "object": "register of subcontractors", "conditions": [ "make available to Competent Authority upon request" ] }, "applicability": "CABs engaging subcontractors", "severity": "medium", "category": "Record Keeping", "source_ref": { "page": 21, "clause": "Section 30.3(b)", "text_snippet": "The CAB shall maintain a register of its subcontractors and make this available to the Competent Authority upon request" } }, { "rule_id": "STD-2024-028.1", "title": "Right of Appeal Against Competent Authority Decisions", "rule_type": "power", "summary": "Any person aggrieved by specified decisions of the Competent Authority has the right to appeal to the Appeals Tribunal/Court within Z days of notification.", "core_obligation": { "actor": "Aggrieved person", "action": "may appeal to Appeals Tribunal/Court", "modality": "may", "object": "decisions regarding license refusal/renewal, conditions, modification/suspension/revocation, fines/penalties, or other administrative actions", "conditions": [ "within Z days of being notified of the decision" ] }, "applicability": "Any person aggrieved by decisions of the Competent Authority under this Act.", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 18, "clause": "Section 28.1", "text_snippet": "Any person aggrieved by a decision of the Competent Authority... may appeal to the [Appeals Tribunal/Court] within [Z] days of being notified of the decision." } }, { "rule_id": "STD-2024-028.1-TIME", "title": "Appeal Filing Time Limit", "rule_type": "obligation", "summary": "Appeals must be filed within Z days of notification of the Competent Authority's decision.", "core_obligation": { "actor": "Appellant", "action": "file appeal within specified timeframe", "modality": "must", "object": "appeal", "conditions": [ "within Z days of being notified of the decision" ] }, "applicability": "All persons exercising right of appeal under Section 28.1.", "severity": "high", "category": "Procedural Compliance", "source_ref": { "page": 18, "clause": "Section 28.1", "text_snippet": "may appeal to the [Appeals Tribunal/Court] within [Z] days of being notified of the decision." } }, { "rule_id": "STD-2024-028.2-A", "title": "Written Appeal with Grounds Required", "rule_type": "obligation", "summary": "Appeals must be submitted in writing and must state the grounds of appeal.", "core_obligation": { "actor": "Appellant", "action": "submit appeal in writing stating grounds", "modality": "shall", "object": "appeal document", "conditions": [ "must be in writing", "must state grounds of appeal" ] }, "applicability": "All appellants filing appeals under Section 28.", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 18, "clause": "Section 28.2(a)", "text_snippet": "The appeal shall be in writing, stating the grounds of appeal", "_origin_rule_id": "STD-2024-028.2-A" }, { "page": 32, "clause": "Section 45.2(a)", "text_snippet": "The appeal shall be in writing, stating the grounds of appeal", "_origin_rule_id": "STD-2024-045.2-A" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.2-B", "title": "Service of Appeal on Competent Authority", "rule_type": "obligation", "summary": "The appellant must serve a copy of the appeal on the Competent Authority.", "core_obligation": { "actor": "Appellant", "action": "serve copy of appeal", "modality": "shall", "object": "copy of appeal", "conditions": [ "on the Competent Authority" ] }, "applicability": "All appellants filing appeals under Section 28.", "severity": "medium", "category": "Procedural Compliance", "source_ref": [ { "page": 18, "clause": "Section 28.2(b)", "text_snippet": "The appellant shall serve a copy of the appeal on the Competent Authority", "_origin_rule_id": "STD-2024-028.2-B" }, { "page": 32, "clause": "Section 45.2(b)", "text_snippet": "The appellant shall serve a copy of the appeal on the Competent Authority", "_origin_rule_id": "STD-2024-045.2-B" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.2-C", "title": "Competent Authority Reply Obligation", "rule_type": "obligation", "summary": "The Competent Authority must file a reply and all relevant documents with the Appeals Tribunal/Court within W days.", "core_obligation": { "actor": "Competent Authority", "action": "file reply and relevant documents", "modality": "shall", "object": "reply and all relevant documents", "conditions": [ "within W days", "with the Appeals Tribunal/Court" ] }, "applicability": "Competent Authority in all appeal proceedings.", "severity": "high", "category": "Procedural Compliance", "source_ref": [ { "page": 18, "clause": "Section 28.2(c)", "text_snippet": "The Competent Authority shall, within [W] days, file with the [Appeals Tribunal/Court] a reply and all relevant documents", "_origin_rule_id": "STD-2024-028.2-C" }, { "page": 32, "clause": "Section 45.2(c)", "text_snippet": "The Competent Authority shall, within [W] days, file with the [Appeals Tribunal/Court] a reply and all relevant documents", "_origin_rule_id": "STD-2024-045.2-C" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.2-D", "title": "Discretion to Allow New Evidence", "rule_type": "power", "summary": "The Appeals Tribunal/Court has discretion to allow the introduction of new evidence in appeal proceedings.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "allow introduction of new evidence", "modality": "may", "object": "new evidence", "conditions": [ "in its discretion" ] }, "applicability": "Appeals Tribunal/Court in all appeal proceedings.", "severity": "medium", "category": "Procedural Powers", "source_ref": [ { "page": 18, "clause": "Section 28.2(d)", "text_snippet": "The [Appeals Tribunal/Court] may, in its discretion, allow the introduction of new evidence.", "_origin_rule_id": "STD-2024-028.2-D" }, { "page": 32, "clause": "Section 45.2(d)", "text_snippet": "The [Appeals Tribunal/Court] may, in its discretion, allow the introduction of new evidence", "_origin_rule_id": "STD-2024-045.2-D" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.3-A", "title": "Power to Confirm, Vary or Set Aside Decisions", "rule_type": "power", "summary": "The Appeals Tribunal/Court may confirm, vary, or set aside the decision of the Competent Authority.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "confirm, vary, or set aside decision", "modality": "may", "object": "decision of the Competent Authority", "conditions": [] }, "applicability": "Appeals Tribunal/Court in all appeal proceedings.", "severity": "high", "category": "Adjudicative Powers", "source_ref": [ { "page": 18, "clause": "Section 28.3(a)", "text_snippet": "The [Appeals Tribunal/Court] may: (a) Confirm, vary, or set aside the decision of the Competent Authority", "_origin_rule_id": "STD-2024-028.3-A" }, { "page": 32, "clause": "Section 45.3(a)", "text_snippet": "The [Appeals Tribunal/Court] may: (a) Confirm, vary, or set aside the decision of the Competent Authority", "_origin_rule_id": "STD-2024-045.3-A" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.3-B", "title": "Power to Refer Matter Back for Reconsideration", "rule_type": "power", "summary": "The Appeals Tribunal/Court may refer the matter back to the Competent Authority for reconsideration.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "refer matter back for reconsideration", "modality": "may", "object": "the matter", "conditions": [ "to the Competent Authority" ] }, "applicability": "Appeals Tribunal/Court in all appeal proceedings.", "severity": "medium", "category": "Adjudicative Powers", "source_ref": [ { "page": 18, "clause": "Section 28.3(b)", "text_snippet": "Refer the matter back to the Competent Authority for reconsideration", "_origin_rule_id": "STD-2024-028.3-B" }, { "page": 32, "clause": "Section 45.3(b)", "text_snippet": "Refer the matter back to the Competent Authority for reconsideration", "_origin_rule_id": "STD-2024-045.3-B" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.3-C", "title": "Power to Make Just and Appropriate Orders", "rule_type": "power", "summary": "The Appeals Tribunal/Court may make any other order it deems just, appropriate and complying with law.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "make orders", "modality": "may", "object": "any other order", "conditions": [ "deemed just, appropriate and complying with law" ] }, "applicability": "Appeals Tribunal/Court in all appeal proceedings.", "severity": "medium", "category": "Adjudicative Powers", "source_ref": [ { "page": 18, "clause": "Section 28.3(c)", "text_snippet": "Make any other order it deems just, appropriate and complying with law.", "_origin_rule_id": "STD-2024-028.3-C" }, { "page": 32, "clause": "Section 45.3(c)", "text_snippet": "Make any other order it deems just and appropriate", "_origin_rule_id": "STD-2024-045.3-C" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-028.4-A", "title": "No Automatic Stay on Appeal", "rule_type": "definition", "summary": "The filing of an appeal does not automatically stay the decision of the Competent Authority.", "core_obligation": { "actor": "Competent Authority decision", "action": "remains in effect", "modality": "shall not", "object": "automatic stay", "conditions": [ "upon filing of appeal" ] }, "applicability": "All appeals filed under Section 28.", "severity": "high", "category": "Procedural Rules", "source_ref": { "page": 18, "clause": "Section 28.4(a)", "text_snippet": "The filing of an appeal shall not automatically stay the decision of the Competent Authority" } }, { "rule_id": "STD-2024-028.4-B", "title": "Right to Apply for Stay of Decision", "rule_type": "power", "summary": "The appellant may apply to the Appeals Tribunal/Court for a stay of the decision pending the outcome of the appeal.", "core_obligation": { "actor": "Appellant", "action": "apply for stay of decision", "modality": "may", "object": "stay application", "conditions": [ "to the Appeals Tribunal/Court", "pending outcome of appeal" ] }, "applicability": "All appellants in proceedings under Section 28.", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 18, "clause": "Section 28.4(b)", "text_snippet": "The appellant may apply to the [Appeals Tribunal/Court] for a stay of the decision pending the outcome of the appeal" } }, { "rule_id": "STD-2024-028.4-C", "title": "Conditions for Granting Stay", "rule_type": "power", "summary": "The Appeals Tribunal/Court may grant a stay if satisfied that: (i) there is a serious question to be tried; (ii) the appellant would suffer irreparable harm without the stay; and (iii) the balance of convenience favors granting the stay.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "grant stay of decision", "modality": "may", "object": "stay order", "conditions": [ "serious question to be tried exists", "appellant would suffer irreparable harm if stay not granted", "balance of convenience favors granting stay" ] }, "applicability": "Appeals Tribunal/Court considering stay applications.", "severity": "high", "category": "Adjudicative Powers", "source_ref": { "page": 18, "clause": "Section 28.4(c)", "text_snippet": "The [Appeals Tribunal/Court] may grant a stay if it is satisfied that: (i) There is a serious question to be tried; (ii) The appellant would suffer irreparable harm if the stay is not granted; (iii) The balance of convenience favors granting the stay." } }, { "rule_id": "STD-2024-028.4-D", "title": "Publication of Appeal Decisions", "rule_type": "obligation", "summary": "The Appeals Tribunal/Court must publish its decisions and the reasons for those decisions to ensure transparency and accountability.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "publish decisions and reasons", "modality": "shall", "object": "decisions and reasons for decisions", "conditions": [ "to ensure transparency and accountability" ] }, "applicability": "Appeals Tribunal/Court in all appeal proceedings.", "severity": "medium", "category": "Transparency and Accountability", "source_ref": { "page": 18, "clause": "Section 28.4(d)", "text_snippet": "The [Appeals Tribunal/Court] shall publish its decisions and the reasons for those decisions to ensure transparency and accountability." } }, { "rule_id": "STD-2024-029", "title": "Annual Audits of Subcontractors", "rule_type": "obligation", "summary": "CABs must conduct annual audits of subcontractors to ensure ongoing compliance.", "core_obligation": { "actor": "Designated CAB", "action": "conduct annual audits", "modality": "shall", "object": "subcontractors", "conditions": [ "to ensure ongoing compliance", "annually" ] }, "applicability": "CABs engaging subcontractors", "severity": "medium", "category": "Quality Assurance", "source_ref": { "page": 21, "clause": "Section 30.3(c)", "text_snippet": "The CAB shall conduct annual audits of its subcontractors to ensure ongoing compliance" } }, { "rule_id": "STD-2024-029.1", "title": "Power to Designate Conformity Assessment Bodies", "rule_type": "power", "summary": "The Competent Authority has discretionary power to designate private entities as Conformity Assessment Bodies for purposes of this Act.", "core_obligation": { "actor": "Competent Authority", "action": "designate private entities as CABs", "modality": "may", "object": "private entities", "conditions": [ "for the purposes of this Act" ] }, "applicability": "Competent Authority in relation to private entities seeking CAB designation.", "severity": "high", "category": "Authorization", "source_ref": { "page": 19, "clause": "Section 29.1", "text_snippet": "The Competent Authority may designate private entities as Conformity Assessment Bodies (CABs) for the purposes of this Act." } }, { "rule_id": "STD-2024-029.2", "title": "Types of Conformity Assessment Bodies", "rule_type": "definition", "summary": "Defines four types of CABs with different authorization scopes: Type A (all activities), Type B (specific activities), Type C (specific sectors/products), Type D (remote/virtual activities).", "core_obligation": { "actor": "N/A", "action": "classification of CAB types", "modality": "definitional", "object": "CAB types A, B, C, D", "conditions": [] }, "applicability": "All entities seeking CAB designation.", "severity": "medium", "category": "Definition", "source_ref": { "page": 19, "clause": "Section 29.2", "text_snippet": "There are the following types of CABs: (a) Type A: authorised to conduct all conformity assessment activities..." } }, { "rule_id": "STD-2024-029.3-A", "title": "Legal Registration Requirement for CAB Designation", "rule_type": "obligation", "summary": "Entities seeking CAB designation must be legal persons registered in State X.", "core_obligation": { "actor": "CAB applicant", "action": "be a legal person registered", "modality": "must", "object": "legal registration status", "conditions": [ "in State X" ] }, "applicability": "All entities applying for CAB designation.", "severity": "critical", "category": "Eligibility", "source_ref": { "page": 19, "clause": "Section 29.3(a)", "text_snippet": "Be a legal person registered in [State X]" } }, { "rule_id": "STD-2024-029.3-B", "title": "Technical Competence Requirement for CABs", "rule_type": "obligation", "summary": "CAB applicants must possess necessary technical competence and resources to perform conformity assessment activities.", "core_obligation": { "actor": "CAB applicant", "action": "have technical competence and resources", "modality": "must", "object": "technical competence and resources", "conditions": [ "necessary to perform conformity assessment activities" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Competence", "source_ref": { "page": 19, "clause": "Section 29.3(b)", "text_snippet": "Have the necessary technical competence and resources to perform conformity assessment activities" } }, { "rule_id": "STD-2024-029.3-C", "title": "Impartiality and Conflict of Interest Requirements", "rule_type": "obligation", "summary": "CABs must be impartial and free from any conflict of interest in relation to their conformity assessment activities.", "core_obligation": { "actor": "CAB applicant", "action": "be impartial and free from conflict of interest", "modality": "must", "object": "impartiality status", "conditions": [ "in relation to conformity assessment activities" ] }, "applicability": "All entities applying for CAB designation.", "severity": "critical", "category": "Independence", "source_ref": { "page": 19, "clause": "Section 29.3(c)", "text_snippet": "Be impartial and free from any conflict of interest in relation to its conformity assessment activities" } }, { "rule_id": "STD-2024-029.3-D", "title": "Liability Insurance Requirement for CABs", "rule_type": "obligation", "summary": "CAB applicants must maintain appropriate liability insurance.", "core_obligation": { "actor": "CAB applicant", "action": "maintain liability insurance", "modality": "must", "object": "liability insurance", "conditions": [ "appropriate" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Financial", "source_ref": { "page": 19, "clause": "Section 29.3(d)", "text_snippet": "Maintain appropriate liability insurance" } }, { "rule_id": "STD-2024-029.3-E", "title": "International Standards Compliance Requirement", "rule_type": "obligation", "summary": "CABs must comply with relevant international standards, including ISO/IEC 17000 series.", "core_obligation": { "actor": "CAB applicant", "action": "comply with international standards", "modality": "must", "object": "international standards", "conditions": [ "including ISO/IEC 17000 series" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Standards Compliance", "source_ref": { "page": 19, "clause": "Section 29.3(e)", "text_snippet": "Comply with relevant international standards, including ISO/IEC 17000 series" } }, { "rule_id": "STD-2024-029.3-F", "title": "Quality Management System Requirement", "rule_type": "obligation", "summary": "CAB applicants must have a quality management system in place.", "core_obligation": { "actor": "CAB applicant", "action": "have quality management system", "modality": "must", "object": "quality management system", "conditions": [ "in place" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Quality Management", "source_ref": { "page": 19, "clause": "Section 29.3(f)", "text_snippet": "Have a quality management system in place" } }, { "rule_id": "STD-2024-029.3-G", "title": "Competent Personnel Requirement", "rule_type": "obligation", "summary": "CABs must employ competent personnel with relevant qualifications and experience.", "core_obligation": { "actor": "CAB applicant", "action": "employ competent personnel", "modality": "must", "object": "personnel", "conditions": [ "with relevant qualifications and experience" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Human Resources", "source_ref": { "page": 19, "clause": "Section 29.3(g)", "text_snippet": "Employ competent personnel with relevant qualifications and experience" } }, { "rule_id": "STD-2024-029.3-H", "title": "Regulatory Criteria Compliance", "rule_type": "obligation", "summary": "CAB applicants must meet any other criteria prescribed by regulations.", "core_obligation": { "actor": "CAB applicant", "action": "meet prescribed criteria", "modality": "must", "object": "regulatory criteria", "conditions": [ "as prescribed by regulations" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Compliance", "source_ref": { "page": 19, "clause": "Section 29.3(h)", "text_snippet": "Meet any other criteria prescribed by regulations" } }, { "rule_id": "STD-2024-029.3-I", "title": "Financial Stability Requirement", "rule_type": "obligation", "summary": "CAB applicants must demonstrate financial stability and sustainability.", "core_obligation": { "actor": "CAB applicant", "action": "demonstrate financial stability", "modality": "must", "object": "financial stability and sustainability", "conditions": [] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Financial", "source_ref": { "page": 19, "clause": "Section 29.3(i)", "text_snippet": "Demonstrate financial stability and sustainability" } }, { "rule_id": "STD-2024-029.3-J", "title": "Cybersecurity Measures Requirement", "rule_type": "obligation", "summary": "CABs must have robust cybersecurity measures in place to protect sensitive data.", "core_obligation": { "actor": "CAB applicant", "action": "have cybersecurity measures", "modality": "must", "object": "cybersecurity measures", "conditions": [ "robust", "to protect sensitive data" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Data Security", "source_ref": { "page": 19, "clause": "Section 29.3(j)", "text_snippet": "Have robust cybersecurity measures in place to protect sensitive data" } }, { "rule_id": "STD-2024-029.4-A", "title": "Application Submission Requirement", "rule_type": "obligation", "summary": "Applications for CAB designation shall be made to the Competent Authority in the prescribed form.", "core_obligation": { "actor": "CAB applicant", "action": "submit application", "modality": "shall", "object": "application for designation", "conditions": [ "to the Competent Authority", "in prescribed form" ] }, "applicability": "All entities seeking CAB designation.", "severity": "medium", "category": "Procedure", "source_ref": { "page": 19, "clause": "Section 29.4(a)", "text_snippet": "An application for designation as a CAB shall be made to the Competent Authority in the prescribed form" } }, { "rule_id": "STD-2024-029.4-B", "title": "Application Documentation Requirements", "rule_type": "obligation", "summary": "Applications must be accompanied by specified documents including proof of legal status, technical competence evidence, quality manual, personnel list, insurance proof, impartiality declaration, cybersecurity policy, and business continuity plans.", "core_obligation": { "actor": "CAB applicant", "action": "submit required documents", "modality": "shall", "object": "supporting documentation", "conditions": [ "as specified in subsections (i) through (x)" ] }, "applicability": "All entities applying for CAB designation.", "severity": "high", "category": "Documentation", "source_ref": { "page": 19, "clause": "Section 29.4(b)", "text_snippet": "The application shall be accompanied by: (i) Proof of legal status; (ii) Detailed description..." } }, { "rule_id": "STD-2024-029.4-C", "title": "Application Fee Requirement", "rule_type": "obligation", "summary": "Applications for CAB designation shall be accompanied by the prescribed fee.", "core_obligation": { "actor": "CAB applicant", "action": "pay prescribed fee", "modality": "shall", "object": "application fee", "conditions": [ "as prescribed" ] }, "applicability": "All entities applying for CAB designation.", "severity": "medium", "category": "Financial", "source_ref": { "page": 19, "clause": "Section 29.4(c)", "text_snippet": "The application shall be accompanied by the prescribed fee" } }, { "rule_id": "STD-2024-029.5-A", "title": "Competent Authority Assessment Obligation", "rule_type": "obligation", "summary": "The Competent Authority shall assess each application for CAB designation.", "core_obligation": { "actor": "Competent Authority", "action": "assess application", "modality": "shall", "object": "CAB designation application", "conditions": [ "each application" ] }, "applicability": "Competent Authority for all CAB applications received.", "severity": "high", "category": "Assessment", "source_ref": { "page": 19, "clause": "Section 29.5(a)", "text_snippet": "The Competent Authority shall assess each application for designation" } }, { "rule_id": "STD-2024-029.5-E", "title": "Assessment Summary Publication Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall publish a summary of the assessment process and criteria on its website within specified days after assessment completion.", "core_obligation": { "actor": "Competent Authority", "action": "publish assessment summary", "modality": "shall", "object": "assessment process and criteria summary", "conditions": [ "on its website", "within [X] days after assessment completion" ] }, "applicability": "Competent Authority after completing CAB assessments.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 19, "clause": "Section 29.5(e)", "text_snippet": "The Competent Authority shall publish a summary of the assessment process and criteria on its website within [X] days after the assessment completion" } }, { "rule_id": "STD-2024-029.6-A", "title": "Decision Notification Timeline", "rule_type": "obligation", "summary": "The Competent Authority shall inform the applicant of its designation decision in writing within specified days after assessment completion.", "core_obligation": { "actor": "Competent Authority", "action": "inform applicant of decision", "modality": "shall", "object": "designation decision", "conditions": [ "in writing", "within [X] days after assessment completion" ] }, "applicability": "Competent Authority for all assessed CAB applications.", "severity": "high", "category": "Procedure", "source_ref": { "page": 19, "clause": "Section 29.6(a)", "text_snippet": "The Competent Authority shall within [X] days after the assessment completion inform the applicant of its decision in writing" } }, { "rule_id": "STD-2024-029.6-B", "title": "Certificate of Designation Issuance", "rule_type": "obligation", "summary": "If application is approved, the Competent Authority shall issue a certificate of designation specifying name, address, type, scope, conditions, validity period, and unique identification number.", "core_obligation": { "actor": "Competent Authority", "action": "issue certificate of designation", "modality": "shall", "object": "certificate of designation", "conditions": [ "if application approved", "specifying required details per subsections (i)-(vi)" ] }, "applicability": "Competent Authority for approved CAB applications.", "severity": "high", "category": "Authorization", "source_ref": { "page": 19, "clause": "Section 29.6(b)", "text_snippet": "If the application is approved, the Competent Authority shall issue a certificate of designation specifying..." } }, { "rule_id": "STD-2024-029.6-D", "title": "Public Register Maintenance Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall maintain a public register of all designated CABs, accessible on its website.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public register", "modality": "shall", "object": "register of designated CABs", "conditions": [ "accessible on its website" ] }, "applicability": "Competent Authority for all designated CABs.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 19, "clause": "Section 29.6(d)", "text_snippet": "The Competent Authority shall maintain a public register of all designated CABs, accessible on its website" } }, { "rule_id": "STD-2024-029.7-A", "title": "Designation Validity Period", "rule_type": "obligation", "summary": "A CAB designation shall be valid for a specified number of years from the date of issue.", "core_obligation": { "actor": "Competent Authority", "action": "issue designation with validity period", "modality": "shall", "object": "designation validity", "conditions": [ "for [Y] years from date of issue" ] }, "applicability": "All CAB designations issued by the Competent Authority.", "severity": "high", "category": "Authorization", "source_ref": { "page": 19, "clause": "Section 29.7(a)", "text_snippet": "A designation shall be valid for [Y] years from the date of issue" } }, { "rule_id": "STD-2024-029.7-B", "title": "Renewal Application Timeline", "rule_type": "obligation", "summary": "A CAB may apply for renewal of its designation at least a specified number of months before its expiry.", "core_obligation": { "actor": "CAB", "action": "apply for renewal", "modality": "may", "object": "designation renewal", "conditions": [ "at least [Z] months before expiry" ] }, "applicability": "All designated CABs seeking renewal.", "severity": "medium", "category": "Procedure", "source_ref": { "page": 19, "clause": "Section 29.7(b)", "text_snippet": "A CAB may apply for renewal of its designation at least [Z] months before its expiry" } }, { "rule_id": "STD-2024-029.7-C", "title": "Renewal Reassessment Requirement", "rule_type": "obligation", "summary": "The renewal process shall include a reassessment of the CAB's compliance with the criteria for designation.", "core_obligation": { "actor": "Competent Authority", "action": "conduct reassessment", "modality": "shall", "object": "CAB compliance with designation criteria", "conditions": [ "during renewal process" ] }, "applicability": "Competent Authority for all CAB renewal applications.", "severity": "high", "category": "Assessment", "source_ref": { "page": 19, "clause": "Section 29.7(c)", "text_snippet": "The renewal process shall include a reassessment of the CAB's compliance with the criteria for designation" } }, { "rule_id": "STD-2024-029.7-D", "title": "Renewal Decision Authority", "rule_type": "power", "summary": "The Competent Authority may renew the designation with or without modifications, or refuse to renew it, providing reasons for any refusal.", "core_obligation": { "actor": "Competent Authority", "action": "decide on renewal", "modality": "may", "object": "designation renewal", "conditions": [ "with or without modifications", "or refuse with reasons" ] }, "applicability": "Competent Authority for CAB renewal decisions.", "severity": "high", "category": "Authorization", "source_ref": { "page": 19, "clause": "Section 29.7(d)", "text_snippet": "The Competent Authority may renew the designation with or without modifications, or refuse to renew it, providing reasons for any refusal" } }, { "rule_id": "STD-2024-029.7-E", "title": "Periodic Unannounced Assessment Requirement", "rule_type": "obligation", "summary": "The Competent Authority shall conduct periodic unannounced assessments of designated CABs to ensure ongoing compliance.", "core_obligation": { "actor": "Competent Authority", "action": "conduct unannounced assessments", "modality": "shall", "object": "designated CABs", "conditions": [ "periodic", "to ensure ongoing compliance" ] }, "applicability": "Competent Authority for all designated CABs.", "severity": "high", "category": "Supervision", "source_ref": { "page": 19, "clause": "Section 29.7(e)", "text_snippet": "The Competent Authority shall conduct periodic unannounced assessments of designated CABs to ensure ongoing compliance" } }, { "rule_id": "STD-2024-033.1a", "title": "Right to Appeal CAB Decisions Internally", "rule_type": "power", "summary": "Any person aggrieved by a CAB decision may appeal to the CAB's internal appeals process.", "core_obligation": { "actor": "Aggrieved person", "action": "appeal to CAB's internal appeals process", "modality": "may", "object": "CAB decision", "conditions": [ "person is aggrieved by a CAB decision" ] }, "applicability": "Any person affected by a Conformity Assessment Body decision.", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 24, "clause": "Section 33.1(a)", "text_snippet": "Any person aggrieved by a decision of a CAB may appeal to the CAB's internal appeals process" } }, { "rule_id": "STD-2024-033.1b", "title": "Right to Appeal to Competent Authority", "rule_type": "power", "summary": "Persons dissatisfied with internal CAB appeal outcomes may appeal to the Competent Authority within a specified timeframe.", "core_obligation": { "actor": "Aggrieved person", "action": "appeal to the Competent Authority", "modality": "may", "object": "outcome of internal appeal", "conditions": [ "dissatisfied with outcome of internal appeal", "within [Y] days" ] }, "applicability": "Persons who have exhausted CAB internal appeals process.", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 24, "clause": "Section 33.1(b)", "text_snippet": "If dissatisfied with the outcome of the internal appeal, the person may appeal to the Competent Authority within [Y] days" } }, { "rule_id": "STD-2024-033.1c", "title": "Establishment of Appeals Committee", "rule_type": "obligation", "summary": "The Competent Authority must establish an Appeals Committee to hear appeals against CAB decisions.", "core_obligation": { "actor": "Competent Authority", "action": "establish an Appeals Committee", "modality": "shall", "object": "Appeals Committee", "conditions": [ "to hear appeals against CAB decisions" ] }, "applicability": "Competent Authority overseeing Conformity Assessment Bodies.", "severity": "high", "category": "Institutional Requirements", "source_ref": { "page": 24, "clause": "Section 33.1(c)", "text_snippet": "The Competent Authority shall establish an Appeals Committee to hear such appeals" } }, { "rule_id": "STD-2024-033.1d-i", "title": "Appeals Committee Power to Confirm Decisions", "rule_type": "power", "summary": "The Appeals Committee may confirm the CAB's decision.", "core_obligation": { "actor": "Appeals Committee", "action": "confirm the CAB's decision", "modality": "may", "object": "CAB's decision", "conditions": [] }, "applicability": "Appeals Committee hearing appeals against CAB decisions.", "severity": "medium", "category": "Decision-Making Powers", "source_ref": { "page": 24, "clause": "Section 33.1(d)(i)", "text_snippet": "The Appeals Committee may: (i) Confirm the CAB's decision" } }, { "rule_id": "STD-2024-033.1d-ii", "title": "Appeals Committee Power to Vary Decisions", "rule_type": "power", "summary": "The Appeals Committee may vary the CAB's decision.", "core_obligation": { "actor": "Appeals Committee", "action": "vary the CAB's decision", "modality": "may", "object": "CAB's decision", "conditions": [] }, "applicability": "Appeals Committee hearing appeals against CAB decisions.", "severity": "medium", "category": "Decision-Making Powers", "source_ref": { "page": 24, "clause": "Section 33.1(d)(ii)", "text_snippet": "The Appeals Committee may: (ii) Vary the CAB's decision" } }, { "rule_id": "STD-2024-033.1d-iii", "title": "Appeals Committee Power to Set Aside and Refer Back", "rule_type": "power", "summary": "The Appeals Committee may set aside the CAB's decision and refer the matter back for reconsideration.", "core_obligation": { "actor": "Appeals Committee", "action": "set aside the CAB's decision and refer back", "modality": "may", "object": "CAB's decision", "conditions": [ "refer the matter back to the CAB for reconsideration" ] }, "applicability": "Appeals Committee hearing appeals against CAB decisions.", "severity": "medium", "category": "Decision-Making Powers", "source_ref": { "page": 24, "clause": "Section 33.1(d)(iii)", "text_snippet": "Set aside the CAB's decision and refer the matter back to the CAB for reconsideration" } }, { "rule_id": "STD-2024-033.1d-iv", "title": "Appeals Committee Power to Substitute Decisions", "rule_type": "power", "summary": "In exceptional cases, the Appeals Committee may substitute its own decision for that of the CAB.", "core_obligation": { "actor": "Appeals Committee", "action": "substitute its own decision", "modality": "may", "object": "CAB's decision", "conditions": [ "in exceptional cases" ] }, "applicability": "Appeals Committee hearing appeals against CAB decisions in exceptional circumstances.", "severity": "high", "category": "Decision-Making Powers", "source_ref": { "page": 24, "clause": "Section 33.1(d)(iv)", "text_snippet": "In exceptional cases, substitute its own decision for that of the CAB" } }, { "rule_id": "STD-2024-033.1e", "title": "Publication of Anonymised Appeal Decisions", "rule_type": "obligation", "summary": "The Appeals Committee must publish anonymised summaries of its decisions to promote consistency and transparency.", "core_obligation": { "actor": "Appeals Committee", "action": "publish anonymised summaries", "modality": "shall", "object": "decisions", "conditions": [ "to promote consistency and transparency" ] }, "applicability": "Appeals Committee handling CAB appeals.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 24, "clause": "Section 33.1(e)", "text_snippet": "The Appeals Committee shall publish anonymised summaries of its decisions to promote consistency and transparency" } }, { "rule_id": "STD-2024-033.2a", "title": "Right to Appeal Competent Authority Decisions", "rule_type": "power", "summary": "Any person aggrieved by a Competent Authority decision regarding CABs may appeal to the Administrative Tribunal/Court within a specified timeframe.", "core_obligation": { "actor": "Aggrieved person", "action": "appeal to Administrative Tribunal/Court", "modality": "may", "object": "Competent Authority decision regarding CABs", "conditions": [ "within [Z] days" ] }, "applicability": "Persons affected by Competent Authority decisions regarding CABs.", "severity": "high", "category": "Procedural Rights", "source_ref": [ { "page": 24, "clause": "Section 33.2(a)", "text_snippet": "Any person aggrieved by a decision of the Competent Authority regarding CABs may appeal to the [Administrative Tribunal/Court] within [Z] days", "_origin_rule_id": "STD-2024-033.2a" }, { "page": 32, "clause": "Section 45.1", "text_snippet": "Any person aggrieved by a decision of the Competent Authority regarding... may appeal to the [Appeals Tribunal/Court] within [Z] days of being notified of the decision.", "_origin_rule_id": "STD-2024-045.1" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-033.2b-i", "title": "Tribunal Power to Confirm Authority Decisions", "rule_type": "power", "summary": "The Administrative Tribunal/Court may confirm the Competent Authority's decision.", "core_obligation": { "actor": "Administrative Tribunal/Court", "action": "confirm the Competent Authority's decision", "modality": "may", "object": "Competent Authority's decision", "conditions": [] }, "applicability": "Administrative Tribunal/Court hearing appeals against Competent Authority decisions.", "severity": "high", "category": "Judicial Powers", "source_ref": { "page": 24, "clause": "Section 33.2(b)(i)", "text_snippet": "The [Administrative Tribunal/Court] may: (i) Confirm the Competent Authority's decision" } }, { "rule_id": "STD-2024-033.2b-ii", "title": "Tribunal Power to Vary Authority Decisions", "rule_type": "power", "summary": "The Administrative Tribunal/Court may vary the Competent Authority's decision.", "core_obligation": { "actor": "Administrative Tribunal/Court", "action": "vary the Competent Authority's decision", "modality": "may", "object": "Competent Authority's decision", "conditions": [] }, "applicability": "Administrative Tribunal/Court hearing appeals against Competent Authority decisions.", "severity": "high", "category": "Judicial Powers", "source_ref": { "page": 24, "clause": "Section 33.2(b)(ii)", "text_snippet": "The [Administrative Tribunal/Court] may: (ii) Vary the Competent Authority's decision" } }, { "rule_id": "STD-2024-033.2b-iii", "title": "Tribunal Power to Set Aside and Substitute Decisions", "rule_type": "power", "summary": "The Administrative Tribunal/Court may set aside the Competent Authority's decision and substitute its own decision.", "core_obligation": { "actor": "Administrative Tribunal/Court", "action": "set aside and substitute decision", "modality": "may", "object": "Competent Authority's decision", "conditions": [] }, "applicability": "Administrative Tribunal/Court hearing appeals against Competent Authority decisions.", "severity": "high", "category": "Judicial Powers", "source_ref": { "page": 24, "clause": "Section 33.2(b)(iii)", "text_snippet": "Set aside the Competent Authority's decision and substitute its own decision" } }, { "rule_id": "STD-2024-033.2b-iv", "title": "Tribunal Power to Refer Back for Reconsideration", "rule_type": "power", "summary": "The Administrative Tribunal/Court may refer the matter back to the Competent Authority for reconsideration.", "core_obligation": { "actor": "Administrative Tribunal/Court", "action": "refer back for reconsideration", "modality": "may", "object": "matter under appeal", "conditions": [ "refer to Competent Authority" ] }, "applicability": "Administrative Tribunal/Court hearing appeals against Competent Authority decisions.", "severity": "high", "category": "Judicial Powers", "source_ref": { "page": 24, "clause": "Section 33.2(b)(iv)", "text_snippet": "Refer the matter back to the Competent Authority for reconsideration" } }, { "rule_id": "STD-2024-033.2c", "title": "Finality of Tribunal Decisions", "rule_type": "definition", "summary": "The decision of the Administrative Tribunal/Court shall be final and binding.", "core_obligation": { "actor": "Administrative Tribunal/Court", "action": "issue final and binding decision", "modality": "shall", "object": "decision", "conditions": [ "decision is final and binding" ] }, "applicability": "All decisions of the Administrative Tribunal/Court on CAB-related appeals.", "severity": "critical", "category": "Judicial Authority", "source_ref": { "page": 24, "clause": "Section 33.2(c)", "text_snippet": "The decision of the [Administrative Tribunal/Court] shall be final and binding" } }, { "rule_id": "STD-2024-033.3a", "title": "Establishment of Dispute Resolution Mechanisms", "rule_type": "obligation", "summary": "The Competent Authority must establish mechanisms for resolving disputes between various parties in the conformity assessment system.", "core_obligation": { "actor": "Competent Authority", "action": "establish dispute resolution mechanisms", "modality": "shall", "object": "dispute resolution mechanisms", "conditions": [ "for disputes between CABs and clients", "between different CABs", "between CABs and Competent Authority", "between CABs and other stakeholders" ] }, "applicability": "Competent Authority overseeing conformity assessment system.", "severity": "high", "category": "Institutional Requirements", "source_ref": { "page": 24, "clause": "Section 33.3(a)", "text_snippet": "The Competent Authority shall establish mechanisms for resolving disputes between: (i) CABs and their clients; (ii) Different CABs; (iii) CABs and the Competent Authority; (iv) CABs and other stakeholders" } }, { "rule_id": "STD-2024-033.3b", "title": "Alternative Dispute Resolution Methods", "rule_type": "definition", "summary": "Dispute resolution mechanisms may include mediation, arbitration, or other alternative dispute resolution methods.", "core_obligation": { "actor": "Competent Authority", "action": "provide dispute resolution methods", "modality": "may", "object": "dispute resolution mechanisms", "conditions": [ "including mediation", "including arbitration", "including other ADR methods" ] }, "applicability": "Dispute resolution mechanisms established by Competent Authority.", "severity": "medium", "category": "Procedural Framework", "source_ref": { "page": 24, "clause": "Section 33.3(b)", "text_snippet": "These mechanisms may include mediation, arbitration, or other alternative dispute resolution methods" } }, { "rule_id": "STD-2024-033.3c", "title": "Preservation of Judicial Review Rights", "rule_type": "power", "summary": "The use of dispute resolution mechanisms shall not prejudice any party's right to seek judicial review.", "core_obligation": { "actor": "Any party", "action": "seek judicial review", "modality": "shall not prejudice", "object": "right to judicial review", "conditions": [ "regardless of use of dispute resolution mechanisms" ] }, "applicability": "All parties using dispute resolution mechanisms in the conformity assessment system.", "severity": "critical", "category": "Fundamental Rights", "source_ref": { "page": 24, "clause": "Section 33.3(c)", "text_snippet": "The use of these mechanisms shall not prejudice any party's right to seek judicial review" } }, { "rule_id": "STD-2024-033.3d", "title": "Publication of Dispute Resolution Guidelines", "rule_type": "obligation", "summary": "The Competent Authority must publish guidelines on the dispute resolution processes available.", "core_obligation": { "actor": "Competent Authority", "action": "publish guidelines", "modality": "shall", "object": "guidelines on dispute resolution processes", "conditions": [] }, "applicability": "Competent Authority managing dispute resolution mechanisms.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 24, "clause": "Section 33.3(d)", "text_snippet": "The Competent Authority shall publish guidelines on the dispute resolution processes available" } }, { "rule_id": "STD-2024-034.1", "title": "Power to Recognize Foreign Conformity Assessment Results", "rule_type": "power", "summary": "The Competent Authority may recognize conformity assessment results from foreign CABs if specific criteria are met, including accreditation requirements, procedural equivalence, public interest, and reciprocal arrangements.", "core_obligation": { "actor": "Competent Authority", "action": "recognize foreign conformity assessment results", "modality": "may", "object": "conformity assessment results from foreign CABs", "conditions": [ "foreign CAB is accredited by accreditation body signatory to international mutual recognition arrangements", "conformity assessment conducted according to equivalent procedures", "recognition is in public interest and does not compromise safety, health, or environmental protection", "reciprocal arrangement exists with country of foreign CAB, unless unilateral recognition deemed beneficial" ] }, "applicability": "Competent Authority when considering recognition of foreign conformity assessment results", "severity": "high", "category": "International Recognition", "source_ref": { "page": 25, "clause": "Section 34.1", "text_snippet": "The Competent Authority may recognise conformity assessment results from foreign CABs if..." } }, { "rule_id": "STD-2024-034.2a", "title": "Powers for Recognition Arrangements", "rule_type": "power", "summary": "The Competent Authority has discretionary powers to enter mutual recognition agreements, unilaterally recognize foreign results, and participate in international conformity assessment schemes.", "core_obligation": { "actor": "Competent Authority", "action": "enter agreements, recognize results, participate in schemes", "modality": "may", "object": "mutual recognition agreements, foreign conformity assessment results, international schemes", "conditions": [] }, "applicability": "Competent Authority in establishing international recognition frameworks", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 25, "clause": "Section 34.2(a)", "text_snippet": "The Competent Authority may: (i) Enter into mutual recognition agreements..." } }, { "rule_id": "STD-2024-034.2b", "title": "Pre-Recognition Assessment and Consultation Obligations", "rule_type": "obligation", "summary": "Before recognizing foreign conformity assessment results, the Competent Authority must conduct system assessments, consult stakeholders, publish notice for public comment, and conduct a pilot phase.", "core_obligation": { "actor": "Competent Authority", "action": "conduct assessment, consult, publish notice, conduct pilot phase", "modality": "shall", "object": "foreign conformity assessment system", "conditions": [ "before recognising foreign conformity assessment results" ] }, "applicability": "Competent Authority prior to any recognition of foreign conformity assessment results", "severity": "high", "category": "Procedural Compliance", "source_ref": { "page": 25, "clause": "Section 34.2(b)", "text_snippet": "Before recognising foreign conformity assessment results, the Competent Authority shall..." } }, { "rule_id": "STD-2024-034.3a", "title": "Equivalence Treatment of Recognized Results", "rule_type": "obligation", "summary": "Recognized foreign conformity assessment results must be treated as equivalent to domestic results.", "core_obligation": { "actor": "Competent Authority", "action": "treat as equivalent", "modality": "shall", "object": "recognised foreign conformity assessment results", "conditions": [] }, "applicability": "All recognized foreign conformity assessment results", "severity": "high", "category": "Recognition Effect", "source_ref": { "page": 25, "clause": "Section 34.3(a)", "text_snippet": "Recognised foreign conformity assessment results shall be treated as equivalent to domestic results" } }, { "rule_id": "STD-2024-034.3b", "title": "Power to Impose Conditions on Recognition", "rule_type": "power", "summary": "The Competent Authority may impose conditions on the recognition of foreign conformity assessment results.", "core_obligation": { "actor": "Competent Authority", "action": "impose conditions", "modality": "may", "object": "recognition of foreign conformity assessment results", "conditions": [] }, "applicability": "Competent Authority when granting recognition", "severity": "medium", "category": "Recognition Management", "source_ref": [ { "page": 25, "clause": "Section 34.3(b)", "text_snippet": "The Competent Authority may impose conditions on the recognition", "_origin_rule_id": "STD-2024-034.3b" }, { "page": 30, "clause": "Section 42.2(a)", "text_snippet": "The Competent Authority may impose conditions or limitations on the recognition, including...", "_origin_rule_id": "STD-2024-042.2a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-034.3c", "title": "Public Register Maintenance Obligation", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of recognized foreign CABs and mutual recognition agreements.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public register", "modality": "shall", "object": "recognised foreign CABs and mutual recognition agreements", "conditions": [] }, "applicability": "Competent Authority on ongoing basis", "severity": "medium", "category": "Transparency", "source_ref": [ { "page": 25, "clause": "Section 34.3(c)", "text_snippet": "The Competent Authority shall maintain a public register of recognised foreign CABs...", "_origin_rule_id": "STD-2024-034.3c" }, { "page": 14, "clause": "Section 23.2(c)", "text_snippet": "The Competent Authority shall be responsible for: (c) Maintaining a public register of all licenses and licensees.", "_origin_rule_id": "STD-2024-23.2c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-034.3d", "title": "Periodic Review of Recognition Arrangements", "rule_type": "obligation", "summary": "The Competent Authority must periodically review the effectiveness and continued relevance of recognition arrangements.", "core_obligation": { "actor": "Competent Authority", "action": "periodically review", "modality": "shall", "object": "effectiveness and continued relevance of recognition arrangements", "conditions": [] }, "applicability": "Competent Authority for all active recognition arrangements", "severity": "medium", "category": "Ongoing Monitoring", "source_ref": { "page": 25, "clause": "Section 34.3(d)", "text_snippet": "The Competent Authority shall periodically review the effectiveness and continued relevance..." } }, { "rule_id": "STD-2024-034.4a", "title": "Power to Suspend or Withdraw Recognition", "rule_type": "power", "summary": "The Competent Authority may suspend or withdraw recognition if the foreign CAB no longer meets criteria, there are systemic failures, or repeated non-compliance with recognition terms.", "core_obligation": { "actor": "Competent Authority", "action": "suspend or withdraw recognition", "modality": "may", "object": "recognition of foreign CAB", "conditions": [ "foreign CAB no longer meets criteria for recognition", "evidence of systemic failures in foreign conformity assessment system", "foreign CAB has repeatedly failed to comply with terms of recognition" ] }, "applicability": "Competent Authority when grounds for suspension/withdrawal exist", "severity": "high", "category": "Enforcement", "source_ref": { "page": 25, "clause": "Section 34.4(a)", "text_snippet": "The Competent Authority may suspend or withdraw recognition if..." } }, { "rule_id": "STD-2024-034.4b", "title": "Pre-Suspension/Withdrawal Procedural Obligations", "rule_type": "obligation", "summary": "Before suspending or withdrawing recognition, the Competent Authority must notify the foreign CAB with reasons, provide opportunity to address issues within specified timeframe, and consider representations made.", "core_obligation": { "actor": "Competent Authority", "action": "notify, provide opportunity, consider representations", "modality": "shall", "object": "foreign CAB or authority", "conditions": [ "before suspending or withdrawing recognition" ] }, "applicability": "Competent Authority prior to any suspension or withdrawal action", "severity": "high", "category": "Procedural Fairness", "source_ref": { "page": 25, "clause": "Section 34.4(b)", "text_snippet": "Before suspending or withdrawing recognition, the Competent Authority shall..." } }, { "rule_id": "STD-2024-034.4c", "title": "Post-Suspension/Withdrawal Publication and Notification Obligations", "rule_type": "obligation", "summary": "After suspending or withdrawing recognition, the Competent Authority must publish notice, update the public register, and notify relevant stakeholders of the change in recognition status.", "core_obligation": { "actor": "Competent Authority", "action": "publish notice, update register, notify stakeholders", "modality": "shall", "object": "suspension or withdrawal of recognition", "conditions": [] }, "applicability": "Competent Authority following any suspension or withdrawal of recognition", "severity": "high", "category": "Transparency and Communication", "source_ref": { "page": 25, "clause": "Section 34.4(c)", "text_snippet": "The Competent Authority shall: (i) Publish notice of any suspension or withdrawal..." } }, { "rule_id": "STD-2024-035.1a", "title": "Confidentiality of Conformity Assessment Information", "rule_type": "obligation", "summary": "CABs, their personnel, and subcontractors must maintain confidentiality of all information obtained or created during conformity assessment activities, except as required by law or with written consent.", "core_obligation": { "actor": "CABs, their personnel, and any subcontractors", "action": "maintain confidentiality", "modality": "shall", "object": "all information obtained or created during conformity assessment activities", "conditions": [ "except as required by law", "except with written consent of the person to whom the information relates (all such persons if multiple)" ] }, "applicability": "All CABs and their personnel/subcontractors conducting conformity assessment activities.", "severity": "high", "category": "Confidentiality", "source_ref": { "page": 26, "clause": "Section 35.1(a)", "text_snippet": "CABs, their personnel, and any subcontractors shall maintain the confidentiality of all information obtained or created during conformity assessment activities, except..." } }, { "rule_id": "STD-2024-035.1b", "title": "Advance Notice of Legally Required Disclosure", "rule_type": "obligation", "summary": "CABs must inform clients in advance of any information that the CAB may be required to disclose by law.", "core_obligation": { "actor": "CABs", "action": "inform clients in advance", "modality": "shall", "object": "any information the CAB may be required to disclose by law", "conditions": [] }, "applicability": "All CABs when legally required to disclose client information.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 26, "clause": "Section 35.1(b)", "text_snippet": "CABs shall inform their clients in advance of any information the CAB may be required to disclose by law." } }, { "rule_id": "STD-2024-035.2b", "title": "Technical and Organisational Data Protection Measures", "rule_type": "obligation", "summary": "CABs must implement appropriate technical and organisational measures to protect personal data.", "core_obligation": { "actor": "CABs", "action": "implement", "modality": "shall", "object": "appropriate technical and organisational measures to protect personal data", "conditions": [] }, "applicability": "All CABs processing personal data.", "severity": "high", "category": "Data Protection", "source_ref": { "page": 26, "clause": "Section 35.2(b)", "text_snippet": "CABs shall implement appropriate technical and organisational measures to protect personal data" } }, { "rule_id": "STD-2024-035.2c", "title": "Cross-Border Personal Data Transfer Restriction", "rule_type": "prohibition", "summary": "CABs are prohibited from transferring personal data to third countries without adequate safeguards.", "core_obligation": { "actor": "CABs", "action": "transfer personal data to third countries", "modality": "shall not", "object": "personal data", "conditions": [ "without adequate safeguards" ] }, "applicability": "All CABs transferring personal data internationally.", "severity": "high", "category": "Data Protection", "source_ref": { "page": 26, "clause": "Section 35.2(c)", "text_snippet": "CABs shall not transfer personal data to third countries without adequate safeguards." } }, { "rule_id": "STD-2024-035.3a-i", "title": "Information Access for Competent Authority Oversight", "rule_type": "obligation", "summary": "CABs must provide access to conformity assessment information to the Competent Authority for oversight purposes, notwithstanding confidentiality obligations.", "core_obligation": { "actor": "CABs", "action": "provide access to conformity assessment information", "modality": "shall", "object": "conformity assessment information", "conditions": [ "to the Competent Authority", "for oversight purposes", "notwithstanding confidentiality obligations" ] }, "applicability": "All CABs subject to Competent Authority oversight.", "severity": "high", "category": "Regulatory Oversight", "source_ref": [ { "page": 26, "clause": "Section 35.3(a)(i)", "text_snippet": "CABs shall provide access to conformity assessment information to: (i) The Competent Authority for oversight purposes", "_origin_rule_id": "STD-2024-035.3a-i" }, { "page": 26, "clause": "Section 35.3(a)(ii)", "text_snippet": "CABs shall provide access to conformity assessment information to: ...Courts or tribunals in the context of legal proceedings", "_origin_rule_id": "STD-2024-035.3a-ii" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-035.3b", "title": "Confidentiality Obligations for Information Accessors", "rule_type": "obligation", "summary": "Any person accessing conformity assessment information must be bound by equivalent confidentiality obligations.", "core_obligation": { "actor": "Any person accessing such information", "action": "be bound by", "modality": "shall", "object": "equivalent confidentiality obligations", "conditions": [] }, "applicability": "All persons accessing conformity assessment information under Section 35.3(a).", "severity": "high", "category": "Confidentiality", "source_ref": { "page": 26, "clause": "Section 35.3(b)", "text_snippet": "Any person accessing such information shall be bound by equivalent confidentiality obligations." } }, { "rule_id": "STD-2024-036.1a", "title": "CAB Liability for Negligence", "rule_type": "obligation", "summary": "CABs shall be liable for any damage caused by their negligence in carrying out conformity assessment activities.", "core_obligation": { "actor": "CABs (Conformity Assessment Bodies)", "action": "be liable for damage caused by negligence", "modality": "shall", "object": "damage caused by negligence in conformity assessment activities", "conditions": [] }, "applicability": "All CABs conducting conformity assessment activities.", "severity": "high", "category": "Legal", "source_ref": { "page": 26, "clause": "Section 36.1(a)", "text_snippet": "CABs shall be liable for any damage caused by their negligence in carrying out conformity assessment activities." } }, { "rule_id": "STD-2024-036.1b", "title": "Extension of Liability to Subcontractors", "rule_type": "obligation", "summary": "CAB liability extends to activities carried out by their subcontractors.", "core_obligation": { "actor": "CABs", "action": "bear liability for subcontractor activities", "modality": "shall", "object": "activities carried out by subcontractors", "conditions": [] }, "applicability": "All CABs that engage subcontractors for conformity assessment activities.", "severity": "high", "category": "Legal", "source_ref": { "page": 26, "clause": "Section 36.1(b)", "text_snippet": "This liability shall extend to activities carried out by their subcontractors." } }, { "rule_id": "STD-2024-036.1c", "title": "Exemptions from CAB Liability", "rule_type": "definition", "summary": "CABs are not liable for damages resulting from client non-compliance, force majeure, or normal wear and tear of certified products.", "core_obligation": { "actor": "CABs", "action": "not be liable", "modality": "shall not", "object": "damages from specified circumstances", "conditions": [ "Client's failure to comply with certification requirements", "Force majeure events", "Normal wear and tear of certified products" ] }, "applicability": "All CABs in relation to specified exemption circumstances.", "severity": "medium", "category": "Legal", "source_ref": { "page": 26, "clause": "Section 36.1(c)", "text_snippet": "CABs shall not be liable for damages resulting from: (i) Client's failure to comply with the requirements for certification; (ii) Force majeure events; (iii) Normal wear and tear of certified products." } }, { "rule_id": "STD-2024-036.2a", "title": "Professional Indemnity Insurance Requirement", "rule_type": "obligation", "summary": "CABs must maintain professional indemnity insurance covering their liability under this Act.", "core_obligation": { "actor": "CABs", "action": "maintain professional indemnity insurance", "modality": "shall", "object": "professional indemnity insurance", "conditions": [ "covering liability under this Act" ] }, "applicability": "All CABs operating under this Act.", "severity": "critical", "category": "Financial", "source_ref": { "page": 26, "clause": "Section 36.2(a)", "text_snippet": "CABs shall maintain professional indemnity insurance covering their liability under this Act." } }, { "rule_id": "STD-2024-036.2b", "title": "Minimum Insurance Coverage Levels", "rule_type": "obligation", "summary": "Minimum insurance coverage shall be prescribed by regulations and must be proportionate to CAB activities and sufficient for all operating jurisdictions.", "core_obligation": { "actor": "CABs", "action": "maintain minimum insurance coverage", "modality": "shall", "object": "insurance coverage at prescribed minimum levels", "conditions": [ "Proportionate to the nature and scale of the CAB's activities", "Sufficient to cover potential claims in all jurisdictions where the CAB operates", "As prescribed by regulations" ] }, "applicability": "All CABs, with levels determined by regulations based on activity scope.", "severity": "critical", "category": "Financial", "source_ref": { "page": 26, "clause": "Section 36.2(b)", "text_snippet": "The minimum level of insurance coverage shall be prescribed by regulations and shall be: (i) Proportionate to the nature and scale of the CAB's activities; and (ii) Sufficient to cover potential claims in all jurisdictions where the CAB operates." } }, { "rule_id": "STD-2024-036.2c", "title": "Annual Proof of Insurance Submission", "rule_type": "obligation", "summary": "CABs must provide proof of insurance to the Competent Authority annually.", "core_obligation": { "actor": "CABs", "action": "provide proof of insurance", "modality": "shall", "object": "proof of insurance", "conditions": [ "to the Competent Authority", "annually" ] }, "applicability": "All CABs with active accreditation.", "severity": "high", "category": "Compliance", "source_ref": { "page": 26, "clause": "Section 36.2(c)", "text_snippet": "CABs shall provide proof of insurance to the Competent Authority annually." } }, { "rule_id": "STD-2024-036.2d", "title": "Required Insurance Policy Coverage", "rule_type": "obligation", "summary": "Insurance policies must include coverage for professional errors and omissions, product liability, and legal defense costs.", "core_obligation": { "actor": "CABs", "action": "include specified coverage in insurance policy", "modality": "shall", "object": "insurance policy coverage", "conditions": [ "Professional errors and omissions", "Product liability related to certified products", "Legal defense costs" ] }, "applicability": "All CABs when procuring professional indemnity insurance.", "severity": "high", "category": "Financial", "source_ref": { "page": 26, "clause": "Section 36.2(d)", "text_snippet": "The insurance policy shall include coverage for: (i) Professional errors and omissions; (ii) Product liability related to certified products; and (iii) Legal defense costs." } }, { "rule_id": "STD-2024-036.3a", "title": "Prohibition on Limiting Liability for Serious Misconduct", "rule_type": "obligation", "summary": "CAB liability cannot be limited for fraud, willful misconduct, or gross negligence resulting in death or personal injury.", "core_obligation": { "actor": "CABs", "action": "not limit liability", "modality": "shall not", "object": "liability for specified serious misconduct", "conditions": [ "Fraud or willful misconduct", "Gross negligence resulting in death or personal injury" ] }, "applicability": "All CABs in all contractual and operational contexts.", "severity": "critical", "category": "Legal", "source_ref": { "page": 26, "clause": "Section 36.3(a)", "text_snippet": "Nothing in this Act shall be construed as limiting the liability of CABs for: (i) Fraud or willful misconduct; (ii) Gross negligence resulting in death or personal injury." } }, { "rule_id": "STD-2024-036.3b", "title": "Void Contractual Provisions Limiting Liability", "rule_type": "sanction", "summary": "Any contractual provision that limits CAB liability in contravention of this Act is void.", "core_obligation": { "actor": "CABs", "action": "contractual provisions become void", "modality": "shall be", "object": "contractual provisions limiting liability", "conditions": [ "if in contravention of this Act" ] }, "applicability": "All CAB contracts that attempt to limit liability contrary to the Act.", "severity": "critical", "category": "Legal", "source_ref": { "page": 26, "clause": "Section 36.3(b)", "text_snippet": "Any contractual provision purporting to limit a CAB's liability in contravention of this Act shall be void." } }, { "rule_id": "STD-2024-036.3c", "title": "Permitted Reasonable Limitations of Liability", "rule_type": "power", "summary": "CABs may include reasonable limitations of liability in contracts if clearly communicated, not excluding core activities, and consistent with laws.", "core_obligation": { "actor": "CABs", "action": "include reasonable limitations of liability in contracts", "modality": "may", "object": "contractual liability limitations", "conditions": [ "Clearly communicated to clients", "Do not exclude liability for core conformity assessment activities", "Consistent with applicable laws and regulations" ] }, "applicability": "All CABs when drafting client contracts.", "severity": "medium", "category": "Legal", "source_ref": { "page": 26, "clause": "Section 36.3(c)", "text_snippet": "CABs may include reasonable limitations of liability in their contracts, provided such limitations: (i) Are clearly communicated to clients; (ii) Do not exclude liability for core conformity assessment activities; (iii) Are consistent with applicable laws and regulations." } }, { "rule_id": "STD-2024-037.1a", "title": "Minister's Power to Prescribe Fees by Regulation", "rule_type": "power", "summary": "The Minister may prescribe fees by regulation for CAB applications, renewals, scope expansions, and appeals.", "core_obligation": { "actor": "The Minister", "action": "prescribe fees by regulation", "modality": "may", "object": "fees for CAB-related applications and processes", "conditions": [ "for applications for designation as a CAB", "for renewal of designation", "for expansion of scope of designation", "for appeals to the Competent Authority" ] }, "applicability": "The Minister in relation to CAB regulatory processes.", "severity": "medium", "category": "Administrative Powers", "source_ref": { "page": 27, "clause": "Section 37.1(a)", "text_snippet": "The Minister may, by regulation, prescribe fees for: (i) Applications for designation as a CAB; (ii) Renewal of designation; (iii) Expansion of scope of designation; (iv) Appeals to the Competent Authority." } }, { "rule_id": "STD-2024-037.1b", "title": "Cost Recovery Requirement for Fees", "rule_type": "obligation", "summary": "Fees must be set at a level that ensures cost recovery for the Competent Authority's CAB-related activities.", "core_obligation": { "actor": "Fee-setting authority (Minister/Competent Authority)", "action": "set fees at cost recovery level", "modality": "shall", "object": "fees", "conditions": [ "must ensure cost recovery for the Competent Authority's activities related to CABs" ] }, "applicability": "Applies when setting fees under Section 37.1(a).", "severity": "medium", "category": "Financial Management", "source_ref": { "page": 27, "clause": "Section 37.1(b)", "text_snippet": "Fees shall be set at a level that ensures cost recovery for the Competent Authority's activities related to CABs." } }, { "rule_id": "STD-2024-037.1c", "title": "Annual Fee Structure Review", "rule_type": "obligation", "summary": "The fee structure must be reviewed annually and may be adjusted based on regulatory costs, inflation, and financial sustainability needs.", "core_obligation": { "actor": "Fee-setting authority (Minister/Competent Authority)", "action": "review fee structure annually", "modality": "shall", "object": "fee structure", "conditions": [ "reviewed annually", "may be adjusted to reflect changes in cost of regulatory oversight", "may be adjusted to reflect inflation and other economic factors", "may be adjusted to reflect the need to maintain financial sustainability of the regulatory system" ] }, "applicability": "Ongoing obligation for fee structure management.", "severity": "low", "category": "Procedural Compliance", "source_ref": { "page": 27, "clause": "Section 37.1(c)", "text_snippet": "The fee structure shall be reviewed annually and may be adjusted to reflect: (i) Changes in the cost of regulatory oversight; (ii) Inflation and other economic factors; and (iii) The need to maintain the financial sustainability of the regulatory system." } }, { "rule_id": "STD-2024-037.2a", "title": "CAB Fee-Setting Authority", "rule_type": "power", "summary": "CABs may set their own fees for conformity assessment activities.", "core_obligation": { "actor": "CABs (Conformity Assessment Bodies)", "action": "set their own fees", "modality": "may", "object": "fees for conformity assessment activities", "conditions": [] }, "applicability": "All designated CABs conducting conformity assessment activities.", "severity": "low", "category": "Business Operations", "source_ref": { "page": 27, "clause": "Section 37.2(a)", "text_snippet": "CABs may set their own fees for conformity assessment activities." } }, { "rule_id": "STD-2024-037.2b", "title": "CAB Fee Requirements - Fairness and Transparency", "rule_type": "obligation", "summary": "CAB fees must be reasonable, non-discriminatory, transparent, clearly communicated, and based on objective criteria.", "core_obligation": { "actor": "CABs (Conformity Assessment Bodies)", "action": "ensure fees meet specified standards", "modality": "shall", "object": "fees for conformity assessment activities", "conditions": [ "must be reasonable and non-discriminatory", "must be transparent and clearly communicated to clients", "must be based on objective criteria such as complexity and duration of assessment" ] }, "applicability": "All CABs when setting and charging fees for their services.", "severity": "medium", "category": "Fair Practice", "source_ref": { "page": 27, "clause": "Section 37.2(b)", "text_snippet": "These fees shall be: (i) Reasonable and non-discriminatory; (ii) Transparent and clearly communicated to clients; and (iii) Based on objective criteria such as complexity and duration of assessment." } }, { "rule_id": "STD-2024-037.2c", "title": "Public Availability of CAB Fee Structure", "rule_type": "obligation", "summary": "CABs must make their fee structure publicly available.", "core_obligation": { "actor": "CABs (Conformity Assessment Bodies)", "action": "make fee structure publicly available", "modality": "shall", "object": "fee structure", "conditions": [ "must be publicly available" ] }, "applicability": "All CABs operating under this regulatory framework.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 27, "clause": "Section 37.2(c)", "text_snippet": "CABs shall make their fee structure publicly available." } }, { "rule_id": "STD-2024-037.2d", "title": "Competent Authority Guidelines on Fee-Setting", "rule_type": "power", "summary": "The Competent Authority may issue guidelines on fee-setting practices to ensure fairness and consistency.", "core_obligation": { "actor": "The Competent Authority", "action": "issue guidelines on fee-setting practices", "modality": "may", "object": "guidelines on fee-setting practices", "conditions": [ "to ensure fairness and consistency across the sector" ] }, "applicability": "The Competent Authority in its oversight role of CABs.", "severity": "low", "category": "Regulatory Guidance", "source_ref": { "page": 27, "clause": "Section 37.2(d)", "text_snippet": "The Competent Authority may issue guidelines on fee-setting practices to ensure fairness and consistency across the sector." } }, { "rule_id": "STD-2024-038.1(a)", "title": "Application Requirement for Existing CABs", "rule_type": "obligation", "summary": "Existing entities performing conformity assessment activities must apply for CAB designation within [X] months of Act commencement.", "core_obligation": { "actor": "Existing entities performing conformity assessment activities", "action": "apply for designation as a CAB", "modality": "shall", "object": "CAB designation application", "conditions": [ "within [X] months of Act commencement" ] }, "applicability": "Any entity performing conformity assessment activities at the commencement of this Act", "severity": "high", "category": "Transitional Compliance", "source_ref": { "page": 27, "clause": "Section 38.1(a)", "text_snippet": "Any entity performing conformity assessment activities at the commencement of this Act shall apply for designation as a CAB within [X] months..." } }, { "rule_id": "STD-2024-038.1(b)", "title": "Continuation of Activities Pending Application", "rule_type": "power", "summary": "Existing entities may continue performing conformity assessment activities while their CAB designation application is being determined.", "core_obligation": { "actor": "Existing entities with pending applications", "action": "continue to perform conformity assessment activities", "modality": "may", "object": "conformity assessment activities", "conditions": [ "pending the determination of their application" ] }, "applicability": "Entities that have applied for CAB designation under Section 38.1(a)", "severity": "medium", "category": "Transitional Operations", "source_ref": { "page": 27, "clause": "Section 38.1(b)", "text_snippet": "Such entities may continue to perform conformity assessment activities pending the determination of their application." } }, { "rule_id": "STD-2024-038.1(c)", "title": "Cessation Requirement Upon Application Rejection", "rule_type": "obligation", "summary": "Entities whose CAB designation applications are rejected must cease conformity assessment activities within [Y] days of rejection notification, unless an appeal is filed.", "core_obligation": { "actor": "Entity with rejected CAB application", "action": "cease conformity assessment activities", "modality": "shall", "object": "conformity assessment activities", "conditions": [ "within [Y] days of being notified of the rejection", "unless an appeal is filed" ] }, "applicability": "Entities whose applications for CAB designation have been rejected", "severity": "high", "category": "Enforcement", "source_ref": { "page": 27, "clause": "Section 38.1(c)", "text_snippet": "If the application is rejected, the entity shall cease conformity assessment activities within [Y] days of being notified of the rejection, unless an appeal is filed." } }, { "rule_id": "STD-2024-038.1(d)", "title": "Temporary Designation Authority", "rule_type": "power", "summary": "The Competent Authority may grant temporary designations to existing CABs to ensure continuity of services during the transition period.", "core_obligation": { "actor": "Competent Authority", "action": "grant temporary designations", "modality": "may", "object": "temporary CAB designations", "conditions": [ "to ensure continuity of services during the transition period" ] }, "applicability": "Competent Authority's discretion regarding existing CABs", "severity": "medium", "category": "Administrative Power", "source_ref": { "page": 27, "clause": "Section 38.1(d)", "text_snippet": "The Competent Authority may grant temporary designations to existing CABs to ensure continuity of services during the transition period." } }, { "rule_id": "STD-2024-038.2(a)", "title": "Validity Period of Pre-Commencement Assessment Results", "rule_type": "obligation", "summary": "Conformity assessment results issued before Act commencement remain valid until their expiry or for [Z] months after commencement, whichever is earlier.", "core_obligation": { "actor": "Holders of existing conformity assessment results", "action": "retain validity of results", "modality": "shall", "object": "conformity assessment results issued before commencement", "conditions": [ "until their expiry", "or for [Z] months after the commencement of this Act", "whichever is earlier" ] }, "applicability": "All conformity assessment results issued before the Act's commencement", "severity": "medium", "category": "Transitional Validity", "source_ref": { "page": 27, "clause": "Section 38.2(a)", "text_snippet": "Conformity assessment results issued before the commencement of this Act shall remain valid until their expiry or for [Z] months after the commencement of this Act, whichever is earlier." } }, { "rule_id": "STD-2024-038.2(b)", "title": "Extension of Validity for Existing Results", "rule_type": "power", "summary": "The Competent Authority may extend the validity of pre-commencement conformity assessment results by notice in the Official Gazette if in the public interest.", "core_obligation": { "actor": "Competent Authority", "action": "extend the validity of conformity assessment results", "modality": "may", "object": "existing conformity assessment results", "conditions": [ "by notice in the [Official Gazette]", "if it is in the public interest to do so", "for a specified period" ] }, "applicability": "Competent Authority's discretion regarding pre-commencement assessment results", "severity": "medium", "category": "Administrative Power", "source_ref": { "page": 27, "clause": "Section 38.2(b)", "text_snippet": "The Competent Authority may, by notice in the [Official Gazette], extend the validity of such results for a specified period if it is in the public interest to do so." } }, { "rule_id": "STD-2024-038.2(c)", "title": "Conversion Application for Existing Results", "rule_type": "power", "summary": "Holders of existing conformity assessment results may apply for their conversion to the new system within [W] months of the Act's commencement.", "core_obligation": { "actor": "Holders of existing conformity assessment results", "action": "apply for conversion to the new system", "modality": "may", "object": "existing conformity assessment results", "conditions": [ "within [W] months of the Act's commencement" ] }, "applicability": "Holders of conformity assessment results issued before Act commencement", "severity": "low", "category": "Transitional Procedure", "source_ref": { "page": 27, "clause": "Section 38.2(c)", "text_snippet": "Holders of existing conformity assessment results may apply for their conversion to the new system within [W] months of the Act's commencement." } }, { "rule_id": "STD-2024-038.3(a)", "title": "Phased Implementation Authority", "rule_type": "power", "summary": "The Competent Authority may implement CAB-related provisions in phases, considering sector readiness, resource availability, and service continuity.", "core_obligation": { "actor": "Competent Authority", "action": "implement the provisions in phases", "modality": "may", "object": "provisions of this Act relating to CABs", "conditions": [ "taking into account the readiness of different sectors", "the availability of resources for oversight", "the need to ensure continuity of conformity assessment services" ] }, "applicability": "Competent Authority's implementation discretion", "severity": "medium", "category": "Implementation Strategy", "source_ref": { "page": 27, "clause": "Section 38.3(a)", "text_snippet": "The Competent Authority may implement the provisions of this Act relating to CABs in phases, taking into account: (i) The readiness of different sectors; (ii) The availability of resources for oversight; and (iii) The need to ensure continuity..." } }, { "rule_id": "STD-2024-038.3(b)", "title": "Publication of Implementation Schedule", "rule_type": "obligation", "summary": "The Competent Authority must publish a phased implementation schedule not extending beyond [W] years from Act commencement.", "core_obligation": { "actor": "Competent Authority", "action": "publish a schedule for the phased implementation", "modality": "shall", "object": "implementation schedule", "conditions": [ "which shall not extend beyond [W] years from the commencement of this Act" ] }, "applicability": "Competent Authority when implementing phased approach", "severity": "high", "category": "Transparency and Planning", "source_ref": { "page": 27, "clause": "Section 38.3(b)", "text_snippet": "The Competent Authority shall publish a schedule for the phased implementation, which shall not extend beyond [W] years from the commencement of this Act." } }, { "rule_id": "STD-2024-038.3(c)(i)", "title": "Guidance and Support Obligation", "rule_type": "obligation", "summary": "During implementation, the Competent Authority must provide guidance and support to CABs transitioning to the new system.", "core_obligation": { "actor": "Competent Authority", "action": "provide guidance and support", "modality": "shall", "object": "CABs transitioning to the new system", "conditions": [ "during the implementation phase" ] }, "applicability": "Competent Authority during the implementation phase", "severity": "medium", "category": "Support Services", "source_ref": { "page": 27, "clause": "Section 38.3(c)(i)", "text_snippet": "During the implementation phase, the Competent Authority shall: (i) Provide guidance and support to CABs transitioning to the new system;" } }, { "rule_id": "STD-2024-038.3(c)(ii)", "title": "Stakeholder Consultation Requirement", "rule_type": "obligation", "summary": "The Competent Authority must conduct regular stakeholder consultations to address implementation challenges during the transition phase.", "core_obligation": { "actor": "Competent Authority", "action": "conduct regular stakeholder consultations", "modality": "shall", "object": "stakeholder consultations", "conditions": [ "during the implementation phase", "to address implementation challenges" ] }, "applicability": "Competent Authority during the implementation phase", "severity": "medium", "category": "Stakeholder Engagement", "source_ref": { "page": 27, "clause": "Section 38.3(c)(ii)", "text_snippet": "During the implementation phase, the Competent Authority shall: ... (ii) Conduct regular stakeholder consultations to address implementation challenges;" } }, { "rule_id": "STD-2024-038.3(c)(iii)", "title": "Annual Implementation Reporting", "rule_type": "obligation", "summary": "The Competent Authority must report annually to the Minister on the progress of implementation during the transition phase.", "core_obligation": { "actor": "Competent Authority", "action": "report to the Minister on the progress of implementation", "modality": "shall", "object": "implementation progress report", "conditions": [ "annually", "during the implementation phase" ] }, "applicability": "Competent Authority during the implementation phase", "severity": "medium", "category": "Accountability and Reporting", "source_ref": { "page": 27, "clause": "Section 38.3(c)(iii)", "text_snippet": "During the implementation phase, the Competent Authority shall: ... (iii) Report annually to the Minister on the progress of implementation." } }, { "rule_id": "STD-2024-039.1", "title": "Power to Recognize Foreign Approvals and Certificates", "rule_type": "power", "summary": "The Competent Authority may recognize foreign approvals and certificates if six specific criteria are met, including equivalence of regulatory systems, public interest, and compliance with international standards.", "core_obligation": { "actor": "Competent Authority", "action": "recognize foreign approvals and certificates", "modality": "may", "object": "foreign approvals and certificates", "conditions": [ "issued by competent authority or recognised body in issuing country", "issuing country's regulatory system provides equivalent level of protection to State X", "recognition is in public interest and does not compromise safety, health, or environmental protection", "reciprocal arrangement exists with issuing country, unless unilateral recognition is beneficial to State X", "foreign approval or certificate complies with relevant international standards recognised by State X", "issuing authority demonstrates consistent track record of effective oversight and enforcement" ] }, "applicability": "Applies to all foreign approvals and certificates submitted for recognition by the Competent Authority of State X.", "severity": "high", "category": "International Recognition", "source_ref": { "page": 28, "clause": "Section 39.1", "text_snippet": "The Competent Authority may recognise foreign approvals and certificates if: (a) They are issued by a competent authority..." } }, { "rule_id": "STD-2024-039.2", "title": "Scope of Foreign Recognition", "rule_type": "definition", "summary": "Recognition may be granted for six categories: product certifications, management system certifications, personnel qualifications, test and inspection reports, other prescribed approvals, and conformity assessment procedures.", "core_obligation": { "actor": "Competent Authority", "action": "grant recognition for specified categories", "modality": "may", "object": "product certifications, management system certifications, personnel qualifications, test reports, inspection reports, other prescribed approvals, conformity assessment procedures and results", "conditions": [ "subject to criteria in Section 39.1" ] }, "applicability": "Defines the scope of items eligible for foreign recognition under Section 39.1.", "severity": "medium", "category": "International Recognition", "source_ref": { "page": 28, "clause": "Section 39.2", "text_snippet": "Recognition may be granted for: (a) Product certifications; (b) Management system certifications; (c) Personnel qualifications..." } }, { "rule_id": "STD-2024-042.1a", "title": "Legal Equivalence of Recognised Foreign Approvals", "rule_type": "obligation", "summary": "A recognised foreign approval or certificate shall have the same legal effect as a corresponding domestic approval or certificate, subject to any conditions or limitations specified in the recognition decision.", "core_obligation": { "actor": "Competent Authority", "action": "grant legal equivalence to recognised foreign approvals", "modality": "shall", "object": "recognised foreign approval or certificate", "conditions": [ "subject to any conditions or limitations specified in the recognition decision" ] }, "applicability": "All recognised foreign approvals or certificates", "severity": "high", "category": "Recognition", "source_ref": { "page": 30, "clause": "Section 42.1(a)", "text_snippet": "A recognised foreign approval or certificate shall have the same legal effect as a corresponding domestic approval or certificate..." } }, { "rule_id": "STD-2024-042.1b", "title": "Rights and Obligations Parity for Recognition Holders", "rule_type": "obligation", "summary": "The holder of a recognised foreign approval or certificate shall have the same rights and obligations as the holder of a corresponding domestic approval or certificate.", "core_obligation": { "actor": "Recognition Holder", "action": "have same rights and obligations as domestic approval holders", "modality": "shall", "object": "rights and obligations", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "high", "category": "Recognition", "source_ref": { "page": 30, "clause": "Section 42.1(b)", "text_snippet": "The holder of a recognised foreign approval or certificate shall have the same rights and obligations as the holder of a corresponding domestic approval or certificate..." } }, { "rule_id": "STD-2024-042.1b-i", "title": "Right to Market Products or Services", "rule_type": "obligation", "summary": "Holders of recognised foreign approvals have the right to market products or services in State X.", "core_obligation": { "actor": "Recognition Holder", "action": "market products or services", "modality": "right", "object": "products or services", "conditions": [ "in State X" ] }, "applicability": "Holders of recognised foreign approvals or certificates", "severity": "medium", "category": "Market Access", "source_ref": { "page": 30, "clause": "Section 42.1(b)(i)", "text_snippet": "The right to market products or services in [State X]" } }, { "rule_id": "STD-2024-042.1b-ii", "title": "Obligation to Comply with Domestic Laws", "rule_type": "obligation", "summary": "Holders of recognised foreign approvals must comply with all relevant domestic laws and regulations.", "core_obligation": { "actor": "Recognition Holder", "action": "comply with domestic laws and regulations", "modality": "obligation", "object": "all relevant domestic laws and regulations", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "high", "category": "Compliance", "source_ref": [ { "page": 30, "clause": "Section 42.1(b)(ii)", "text_snippet": "The obligation to comply with all relevant domestic laws and regulations", "_origin_rule_id": "STD-2024-042.1b-ii" }, { "page": 30, "clause": "Section 42.3(a)", "text_snippet": "The holder of a recognised foreign approval or certificate shall comply with all relevant domestic laws and regulations...", "_origin_rule_id": "STD-2024-042.3a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-042.1b-iii", "title": "Liability for Damages or Harm", "rule_type": "obligation", "summary": "Holders of recognised foreign approvals are liable for any damages or harm caused by the approved product or service.", "core_obligation": { "actor": "Recognition Holder", "action": "bear liability for damages or harm", "modality": "obligation", "object": "damages or harm caused by approved product or service", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "critical", "category": "Liability", "source_ref": { "page": 30, "clause": "Section 42.1(b)(iii)", "text_snippet": "Liability for any damages or harm caused by the approved product or service" } }, { "rule_id": "STD-2024-042.2b-i", "title": "Clear Statement of Conditions Requirement", "rule_type": "obligation", "summary": "Any conditions or limitations imposed on recognition shall be clearly stated in the recognition decision.", "core_obligation": { "actor": "Competent Authority", "action": "clearly state conditions or limitations", "modality": "shall", "object": "conditions or limitations", "conditions": [ "in the recognition decision" ] }, "applicability": "All recognition decisions with conditions or limitations", "severity": "medium", "category": "Procedural", "source_ref": { "page": 30, "clause": "Section 42.2(b)(i)", "text_snippet": "Clearly stated in the recognition decision" } }, { "rule_id": "STD-2024-042.2b-ii", "title": "Proportionality of Conditions", "rule_type": "obligation", "summary": "Any conditions or limitations imposed on recognition shall be proportionate to the risks identified.", "core_obligation": { "actor": "Competent Authority", "action": "ensure proportionality of conditions", "modality": "shall", "object": "conditions or limitations", "conditions": [ "proportionate to the risks identified" ] }, "applicability": "All recognition decisions with conditions or limitations", "severity": "medium", "category": "Procedural", "source_ref": { "page": 30, "clause": "Section 42.2(b)(ii)", "text_snippet": "Proportionate to the risks identified" } }, { "rule_id": "STD-2024-042.2b-iii", "title": "Right to Review Conditions", "rule_type": "obligation", "summary": "Conditions or limitations imposed on recognition shall be subject to review upon request by the recognition holder.", "core_obligation": { "actor": "Competent Authority", "action": "review conditions upon request", "modality": "shall", "object": "conditions or limitations", "conditions": [ "upon request by the recognition holder" ] }, "applicability": "All recognition holders subject to conditions or limitations", "severity": "medium", "category": "Procedural", "source_ref": { "page": 30, "clause": "Section 42.2(b)(iii)", "text_snippet": "Subject to review upon request by the recognition holder" } }, { "rule_id": "STD-2024-042.3b", "title": "Domestic Law Supremacy", "rule_type": "obligation", "summary": "In case of conflict between the requirements of the foreign approval or certificate and domestic law, domestic law shall prevail.", "core_obligation": { "actor": "Recognition Holder", "action": "apply domestic law in case of conflict", "modality": "shall", "object": "domestic law", "conditions": [ "in case of conflict between foreign approval requirements and domestic law" ] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "critical", "category": "Compliance", "source_ref": { "page": 30, "clause": "Section 42.3(b)", "text_snippet": "In case of conflict between the requirements of the foreign approval or certificate and domestic law, domestic law shall prevail" } }, { "rule_id": "STD-2024-042.3c", "title": "Obligation to Provide Guidance on Domestic Requirements", "rule_type": "obligation", "summary": "The Competent Authority shall provide guidance on any additional domestic requirements that must be met by holders of recognised foreign approvals or certificates.", "core_obligation": { "actor": "Competent Authority", "action": "provide guidance on additional domestic requirements", "modality": "shall", "object": "guidance on domestic requirements", "conditions": [ "for holders of recognised foreign approvals or certificates" ] }, "applicability": "Competent Authority in relation to all recognition holders", "severity": "medium", "category": "Guidance", "source_ref": { "page": 30, "clause": "Section 42.3(c)", "text_snippet": "The Competent Authority shall provide guidance on any additional domestic requirements that must be met by holders of recognised foreign approvals or certificates" } }, { "rule_id": "STD-2024-043.1A", "title": "Ongoing Monitoring of Foreign Approvals", "rule_type": "obligation", "summary": "The Competent Authority shall continuously monitor the validity and reliability of recognised foreign approvals and certificates.", "core_obligation": { "actor": "Competent Authority", "action": "monitor continued validity and reliability", "modality": "shall", "object": "recognised foreign approvals and certificates", "conditions": [] }, "applicability": "Competent Authority responsible for recognition of foreign approvals and certificates", "severity": "high", "category": "Regulatory Oversight", "source_ref": { "page": 30, "clause": "43.1(a)", "text_snippet": "The Competent Authority shall monitor the continued validity and reliability of recognised foreign approvals and certificates" } }, { "rule_id": "STD-2024-043.1B", "title": "Mandatory Monitoring Activities", "rule_type": "obligation", "summary": "Monitoring by the Competent Authority shall include six specific activities: periodic reassessment, information exchange, market surveillance, complaint review, audits, and monitoring of international developments.", "core_obligation": { "actor": "Competent Authority", "action": "conduct specified monitoring activities", "modality": "shall", "object": "monitoring activities including periodic reassessment, information exchange, market surveillance, complaint review, audits, and international monitoring", "conditions": [] }, "applicability": "Competent Authority conducting monitoring under section 43.1", "severity": "high", "category": "Regulatory Oversight", "source_ref": { "page": 30, "clause": "43.1(b)", "text_snippet": "This monitoring shall include: (i) Periodic reassessment... (vi) Monitoring of international regulatory developments" } }, { "rule_id": "STD-2024-043.1B-I", "title": "Periodic Reassessment Frequency", "rule_type": "obligation", "summary": "The Competent Authority must conduct periodic reassessment of foreign regulatory systems at least every [X] years.", "core_obligation": { "actor": "Competent Authority", "action": "conduct periodic reassessment of foreign regulatory system", "modality": "shall", "object": "foreign regulatory system", "conditions": [ "at least every [X] years" ] }, "applicability": "Competent Authority monitoring recognised foreign regulatory systems", "severity": "high", "category": "Regulatory Oversight", "source_ref": { "page": 30, "clause": "43.1(b)(i)", "text_snippet": "Periodic reassessment of the foreign regulatory system, at least every [X] years" } }, { "rule_id": "STD-2024-043.2A", "title": "Holder Reporting Obligations", "rule_type": "obligation", "summary": "Holders of recognised foreign approvals or certificates shall report changes affecting validity, adverse events, foreign enforcement actions, and annual compliance statements to the Competent Authority.", "core_obligation": { "actor": "Holders of recognised foreign approvals or certificates", "action": "report specified information to the Competent Authority", "modality": "shall", "object": "changes affecting validity, adverse events, enforcement actions in other jurisdictions, annual compliance statements", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "high", "category": "Compliance Reporting", "source_ref": { "page": 30, "clause": "43.2(a)", "text_snippet": "Holders of recognised foreign approvals or certificates shall report to the Competent Authority: (i) Any changes... (iv) Annual compliance statements" } }, { "rule_id": "STD-2024-043.2A-I", "title": "Report Changes Affecting Validity", "rule_type": "obligation", "summary": "Holders must report any changes that may affect the validity of their foreign approval or certificate.", "core_obligation": { "actor": "Holders of recognised foreign approvals or certificates", "action": "report changes", "modality": "shall", "object": "any changes that may affect the validity of the approval or certificate", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "high", "category": "Compliance Reporting", "source_ref": { "page": 30, "clause": "43.2(a)(i)", "text_snippet": "Any changes that may affect the validity of the approval or certificate" } }, { "rule_id": "STD-2024-043.2A-II", "title": "Report Adverse Events and Non-Compliances", "rule_type": "obligation", "summary": "Holders must report any adverse events or non-compliances related to the approved or certified item.", "core_obligation": { "actor": "Holders of recognised foreign approvals or certificates", "action": "report adverse events and non-compliances", "modality": "shall", "object": "adverse events or non-compliances related to the approved or certified item", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "high", "category": "Compliance Reporting", "source_ref": { "page": 30, "clause": "43.2(a)(ii)", "text_snippet": "Any adverse events or non-compliances related to the approved or certified item" } }, { "rule_id": "STD-2024-043.2A-III", "title": "Report Foreign Enforcement Actions", "rule_type": "obligation", "summary": "Holders must report any enforcement actions taken against them in other jurisdictions.", "core_obligation": { "actor": "Holders of recognised foreign approvals or certificates", "action": "report enforcement actions", "modality": "shall", "object": "any enforcement actions taken against them in other jurisdictions", "conditions": [] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "high", "category": "Compliance Reporting", "source_ref": { "page": 30, "clause": "43.2(a)(iii)", "text_snippet": "Any enforcement actions taken against them in other jurisdictions" } }, { "rule_id": "STD-2024-043.2A-IV", "title": "Annual Compliance Statements", "rule_type": "obligation", "summary": "Holders must submit annual compliance statements confirming continued adherence to recognition conditions.", "core_obligation": { "actor": "Holders of recognised foreign approvals or certificates", "action": "submit annual compliance statements", "modality": "shall", "object": "annual compliance statements confirming continued adherence to recognition conditions", "conditions": [ "annually" ] }, "applicability": "All holders of recognised foreign approvals or certificates", "severity": "medium", "category": "Compliance Reporting", "source_ref": { "page": 30, "clause": "43.2(a)(iv)", "text_snippet": "Annual compliance statements confirming continued adherence to recognition conditions" } }, { "rule_id": "STD-2024-043.2B", "title": "Reporting Frequency and Content Prescription", "rule_type": "obligation", "summary": "The frequency and content of reports shall be prescribed by regulations and may vary based on risk level.", "core_obligation": { "actor": "Competent Authority (via regulations)", "action": "prescribe frequency and content of reports", "modality": "shall", "object": "reporting requirements", "conditions": [ "may vary based on risk level of approved item or activity" ] }, "applicability": "Regulatory framework for reporting requirements", "severity": "medium", "category": "Regulatory Framework", "source_ref": { "page": 30, "clause": "43.2(b)", "text_snippet": "The frequency and content of reports shall be prescribed by regulations and may vary based on the risk level" } }, { "rule_id": "STD-2024-043.2C", "title": "Report Review Timeline", "rule_type": "obligation", "summary": "The Competent Authority shall review submitted reports within [Y] days and take appropriate action if issues are identified.", "core_obligation": { "actor": "Competent Authority", "action": "review reports and take appropriate action", "modality": "shall", "object": "reports submitted under 43.2(a)", "conditions": [ "within [Y] days", "if any issues are identified" ] }, "applicability": "Competent Authority receiving reports from holders", "severity": "high", "category": "Regulatory Oversight", "source_ref": { "page": 30, "clause": "43.2(c)", "text_snippet": "The Competent Authority shall review these reports within [Y] days and take appropriate action if any issues are identified" } }, { "rule_id": "STD-2024-043.3A", "title": "Enforcement Action Authority", "rule_type": "power", "summary": "The Competent Authority may take enforcement actions against holders who fail to comply with recognition conditions, violate domestic laws, or provide false information.", "core_obligation": { "actor": "Competent Authority", "action": "take enforcement actions", "modality": "may", "object": "holders of recognised foreign approvals or certificates", "conditions": [ "fail to comply with conditions of recognition", "violate relevant domestic laws or regulations", "provide false or misleading information" ] }, "applicability": "Competent Authority with enforcement jurisdiction over recognised foreign approvals", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 30, "clause": "43.3(a)", "text_snippet": "The Competent Authority may take enforcement actions against holders... who: (i) Fail to comply... (iii) Provide false or misleading information" } }, { "rule_id": "STD-2024-043.3B", "title": "Available Enforcement Sanctions", "rule_type": "sanction", "summary": "Enforcement actions may include warnings, fines, suspension or revocation of recognition, mandatory corrective actions, and public notices of non-compliance.", "core_obligation": { "actor": "Competent Authority", "action": "impose sanctions", "modality": "may", "object": "warnings, fines, suspension/revocation, corrective actions, public notices", "conditions": [] }, "applicability": "Enforcement actions under section 43.3(a)", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 30, "clause": "43.3(b)", "text_snippet": "Enforcement actions may include: (i) Warnings; (ii) Fines; (iii) Suspension or revocation of recognition; (iv) Mandatory corrective actions; and (v) Public notices" } }, { "rule_id": "STD-2024-043.3B-III", "title": "Suspension or Revocation Power", "rule_type": "sanction", "summary": "The Competent Authority may suspend or revoke recognition of foreign approvals or certificates as an enforcement action.", "core_obligation": { "actor": "Competent Authority", "action": "suspend or revoke recognition", "modality": "may", "object": "recognition of foreign approvals or certificates", "conditions": [ "as enforcement action under 43.3(a)" ] }, "applicability": "Holders subject to enforcement actions", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 30, "clause": "43.3(b)(iii)", "text_snippet": "Suspension or revocation of recognition" } }, { "rule_id": "STD-2024-043.3C", "title": "Investigation and Inspection Powers", "rule_type": "power", "summary": "The Competent Authority shall have the power to conduct investigations and inspections to support enforcement actions.", "core_obligation": { "actor": "Competent Authority", "action": "conduct investigations and inspections", "modality": "shall have the power", "object": "investigations and inspections", "conditions": [ "to support enforcement actions" ] }, "applicability": "Competent Authority conducting enforcement activities", "severity": "high", "category": "Enforcement", "source_ref": { "page": 30, "clause": "43.3(c)", "text_snippet": "The Competent Authority shall have the power to conduct investigations and inspections to support enforcement actions" } }, { "rule_id": "STD-2024-044.1", "title": "Power to Suspend or Revoke Recognition", "rule_type": "power", "summary": "The Competent Authority has discretionary power to suspend or revoke recognition based on six specified grounds including failure to meet conditions, systemic failures, violations, or cooperation failures.", "core_obligation": { "actor": "Competent Authority", "action": "suspend or revoke recognition", "modality": "may", "object": "recognition", "conditions": [ "conditions for recognition are no longer met", "foreign regulatory system no longer provides equivalent protection", "evidence of systemic failures in foreign approval/certification system", "holder violated conditions of recognition or domestic laws", "new scientific/technical information reveals unknown risks", "foreign authority fails to cooperate in information sharing or investigations" ] }, "applicability": "Competent Authority in relation to holders of foreign recognition", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 31, "clause": "Section 44.1", "text_snippet": "The Competent Authority may suspend or revoke recognition if: (a) The conditions for recognition are no longer met..." } }, { "rule_id": "STD-2024-044.2.b", "title": "Right to Make Representations", "rule_type": "obligation", "summary": "The holder must be given [Y] days to make representations before final decision on suspension or revocation.", "core_obligation": { "actor": "Competent Authority", "action": "provide time period for representations", "modality": "shall", "object": "opportunity to respond", "conditions": [ "holder shall have [Y] days to make representations" ] }, "applicability": "Holders of recognition facing suspension or revocation", "severity": "high", "category": "Procedural Safeguards", "source_ref": { "page": 31, "clause": "Section 44.2(b)", "text_snippet": "The holder shall have [Y] days to make representations" } }, { "rule_id": "STD-2024-044.2.e", "title": "Emergency Suspension Power", "rule_type": "power", "summary": "In cases of immediate risk to public health or safety, the Competent Authority may impose an immediate temporary suspension pending full review.", "core_obligation": { "actor": "Competent Authority", "action": "impose immediate temporary suspension", "modality": "may", "object": "recognition", "conditions": [ "cases of immediate risk to public health or safety", "pending full review" ] }, "applicability": "Competent Authority in emergency situations", "severity": "critical", "category": "Emergency Powers", "source_ref": { "page": 31, "clause": "Section 44.2(e)", "text_snippet": "In cases of immediate risk to public health or safety, the Authority may impose an immediate temporary suspension pending full review" } }, { "rule_id": "STD-2024-044.3.a-b", "title": "Legal Effect of Suspension or Revocation", "rule_type": "definition", "summary": "A suspended recognition is not valid during suspension period; a revoked recognition ceases to be valid from the date of revocation.", "core_obligation": { "actor": "N/A", "action": "legal status determination", "modality": "shall", "object": "recognition validity", "conditions": [ "suspended recognition not valid for period of suspension", "revoked recognition ceases validity from date of revocation" ] }, "applicability": "All suspended or revoked recognitions", "severity": "critical", "category": "Legal Status", "source_ref": { "page": 31, "clause": "Section 44.3(a)-(b)", "text_snippet": "A suspended recognition shall not be valid for the period of suspension; A revoked recognition shall cease to be valid from the date of revocation" } }, { "rule_id": "STD-2024-044.3.c", "title": "Obligation to Cease Activities Upon Suspension/Revocation", "rule_type": "obligation", "summary": "The holder must immediately cease all activities authorized by the recognition upon suspension or revocation.", "core_obligation": { "actor": "Holder of recognition", "action": "cease all activities", "modality": "shall", "object": "activities authorized by recognition", "conditions": [ "immediately upon suspension or revocation" ] }, "applicability": "Holders whose recognition is suspended or revoked", "severity": "critical", "category": "Compliance", "source_ref": { "page": 31, "clause": "Section 44.3(c)", "text_snippet": "The holder shall immediately cease all activities authorised by the recognition upon suspension or revocation" } }, { "rule_id": "STD-2024-044.3.d", "title": "Public Register Update Requirement", "rule_type": "obligation", "summary": "The Competent Authority must update the public register to reflect any suspension or revocation within [Z] days.", "core_obligation": { "actor": "Competent Authority", "action": "update public register", "modality": "shall", "object": "public register", "conditions": [ "to reflect suspension or revocation", "within [Z] days" ] }, "applicability": "Competent Authority after suspension or revocation decision", "severity": "high", "category": "Transparency", "source_ref": { "page": 31, "clause": "Section 44.3(d)", "text_snippet": "The Competent Authority shall update the public register to reflect any suspension or revocation within [Z] days" } }, { "rule_id": "STD-2024-044.3.e", "title": "Public Notice of Suspension or Revocation", "rule_type": "obligation", "summary": "The Competent Authority must issue public notices of suspension or revocation where necessary to protect public interest.", "core_obligation": { "actor": "Competent Authority", "action": "issue public notices", "modality": "shall", "object": "suspension or revocation notices", "conditions": [ "where necessary to protect public interest" ] }, "applicability": "Competent Authority when public interest requires notification", "severity": "high", "category": "Transparency", "source_ref": { "page": 31, "clause": "Section 44.3(e)", "text_snippet": "The Authority shall issue public notices of suspension or revocation where necessary to protect public interest" } }, { "rule_id": "STD-2024-045.2-E", "title": "Non-Suspension of Decision Pending Appeal", "rule_type": "default_rule", "summary": "An appeal does not automatically suspend the effect of the Competent Authority's decision unless the Appeals Tribunal/Court orders otherwise.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "determine suspension of decision", "modality": "default (no suspension unless ordered)", "object": "effect of Competent Authority decision", "conditions": [ "unless the Appeals Tribunal/Court orders otherwise" ] }, "applicability": "All appeals filed under Section 45.", "severity": "high", "category": "Procedural Rules", "source_ref": { "page": 32, "clause": "Section 45.2(e)", "text_snippet": "The appeal shall not suspend the effect of the decision unless the [Appeals Tribunal/Court] orders otherwise." } }, { "rule_id": "STD-2024-045.3-D", "title": "Power to Award Costs", "rule_type": "power", "summary": "The Appeals Tribunal/Court may award costs in appeal proceedings as it sees fit.", "core_obligation": { "actor": "Appeals Tribunal/Court", "action": "award costs", "modality": "may", "object": "costs", "conditions": [ "as it sees fit" ] }, "applicability": "Appeals Tribunal/Court in all appeal proceedings.", "severity": "low", "category": "Adjudicative Powers", "source_ref": { "page": 32, "clause": "Section 45.3(d)", "text_snippet": "Award costs as it sees fit." } }, { "rule_id": "STD-2024-046.1a", "title": "Information Exchange Mechanism Establishment", "rule_type": "obligation", "summary": "The Competent Authority must establish mechanisms for information exchange with foreign regulatory authorities on matters related to approvals and certificates.", "core_obligation": { "actor": "Competent Authority", "action": "establish mechanisms for information exchange", "modality": "shall", "object": "mechanisms for information exchange with foreign regulatory authorities", "conditions": [ "on matters related to approvals and certificates", "may include information on changes in regulatory requirements, enforcement actions, adverse events, emerging risks, and best practices" ] }, "applicability": "Competent Authority responsible for international regulatory cooperation", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 32, "clause": "46.1(a)", "text_snippet": "The Competent Authority shall establish mechanisms for information exchange with foreign regulatory authorities on matters related to approvals and certificates" } }, { "rule_id": "STD-2024-046.1c", "title": "Contact Point Designation for Information Exchange", "rule_type": "obligation", "summary": "The Competent Authority must designate contact points to facilitate efficient information exchange with foreign authorities.", "core_obligation": { "actor": "Competent Authority", "action": "designate contact points", "modality": "shall", "object": "contact points", "conditions": [ "for efficient information exchange" ] }, "applicability": "Competent Authority engaged in international information exchange", "severity": "low", "category": "International Cooperation", "source_ref": { "page": 32, "clause": "46.1(c)", "text_snippet": "The Authority shall designate contact points for efficient information exchange" } }, { "rule_id": "STD-2024-046.2a", "title": "Participation in International Forums", "rule_type": "obligation", "summary": "The Competent Authority must participate in relevant international forums and organisations to promote harmonisation, facilitate mutual recognition, share best practices, contribute to international standards, and stay informed about global regulatory trends.", "core_obligation": { "actor": "Competent Authority", "action": "participate in international forums and organisations", "modality": "shall", "object": "relevant international forums and organisations", "conditions": [ "to promote harmonisation of regulatory requirements", "to facilitate mutual recognition arrangements", "to share best practices in regulation and oversight", "to contribute to the development of international standards", "to stay informed about global regulatory trends and challenges" ] }, "applicability": "Competent Authority with international regulatory responsibilities", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 32, "clause": "46.2(a)", "text_snippet": "The Competent Authority shall participate in relevant international forums and organisations to..." } }, { "rule_id": "STD-2024-046.2b", "title": "Annual Reporting on International Engagement", "rule_type": "obligation", "summary": "The Competent Authority must report annually on its international engagement activities and their outcomes.", "core_obligation": { "actor": "Competent Authority", "action": "report on international engagement activities and outcomes", "modality": "shall", "object": "international engagement activities and their outcomes", "conditions": [ "annually" ] }, "applicability": "Competent Authority engaged in international activities", "severity": "low", "category": "Reporting", "source_ref": { "page": 32, "clause": "46.2(b)", "text_snippet": "The Authority shall report annually on its international engagement activities and their outcomes" } }, { "rule_id": "STD-2024-046.3", "title": "Capacity Building Powers", "rule_type": "power", "summary": "The Competent Authority may provide or receive technical assistance, organize or participate in training programs, engage in staff exchanges, and collaborate on joint research projects with foreign regulatory authorities.", "core_obligation": { "actor": "Competent Authority", "action": "provide/receive technical assistance, organize/participate in training, engage in staff exchanges, collaborate on research", "modality": "may", "object": "capacity building activities with foreign regulatory authorities", "conditions": [ "to enhance regulatory capacity", "to promote recognition of approvals and certificates", "through international training programs and workshops", "through staff exchange programs", "through joint research projects to address common regulatory challenges" ] }, "applicability": "Competent Authority seeking to enhance regulatory capacity through international cooperation", "severity": "low", "category": "International Cooperation", "source_ref": { "page": 32, "clause": "46.3", "text_snippet": "The Competent Authority may: (a) Provide or receive technical assistance to or from foreign regulatory authorities..." } }, { "rule_id": "STD-2024-046.4a", "title": "Joint Inspections and Investigations Power", "rule_type": "power", "summary": "The Competent Authority may conduct joint inspections or investigations with foreign regulatory authorities in specified circumstances involving cross-border regulatory matters.", "core_obligation": { "actor": "Competent Authority", "action": "conduct joint inspections or investigations", "modality": "may", "object": "joint inspections or investigations with foreign regulatory authorities", "conditions": [ "where a product or service is approved or certified in multiple jurisdictions", "where there are cross-border safety or compliance concerns", "where it would enhance the efficiency and effectiveness of regulatory oversight" ] }, "applicability": "Competent Authority dealing with cross-border regulatory matters", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 32, "clause": "46.4(a)", "text_snippet": "The Competent Authority may conduct joint inspections or investigations with foreign regulatory authorities where..." } }, { "rule_id": "STD-2024-046.4b", "title": "Joint Activities Procedures Requirement", "rule_type": "obligation", "summary": "Procedures for joint inspections and investigations must be established through formal agreements with foreign authorities.", "core_obligation": { "actor": "Competent Authority", "action": "establish procedures through formal agreements", "modality": "shall", "object": "procedures for joint activities", "conditions": [ "through formal agreements with foreign authorities" ] }, "applicability": "Competent Authority conducting joint activities with foreign regulatory authorities", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 32, "clause": "46.4(b)", "text_snippet": "Procedures for joint activities shall be established through formal agreements with foreign authorities" } }, { "rule_id": "STD-2024-047.1a", "title": "Compliance with Act and Regulations", "rule_type": "obligation", "summary": "All actors engaged in regulated activities must comply with all provisions of the Act and regulations made under it.", "core_obligation": { "actor": "All actors engaged in regulated activities", "action": "comply with all provisions", "modality": "shall", "object": "this Act and regulations made under it", "conditions": [] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "critical", "category": "Compliance", "source_ref": { "page": 33, "clause": "Section 47.1(a)", "text_snippet": "All actors engaged in [regulated activities] shall: (a) Comply with all provisions of this Act and regulations made under it" } }, { "rule_id": "STD-2024-047.1b", "title": "Conformity to Standards and Requirements", "rule_type": "obligation", "summary": "Actors must ensure their products, services, or activities conform to all applicable standards and requirements.", "core_obligation": { "actor": "All actors engaged in regulated activities", "action": "ensure conformity", "modality": "shall", "object": "products, services, or activities", "conditions": [ "to all applicable standards and requirements" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "high", "category": "Compliance", "source_ref": { "page": 33, "clause": "Section 47.1(b)", "text_snippet": "Ensure that their products, services, or activities conform to all applicable standards and requirements" } }, { "rule_id": "STD-2024-047.1c", "title": "Record Retention for Compliance Demonstration", "rule_type": "obligation", "summary": "Actors must maintain records demonstrating compliance for a specified period of years.", "core_obligation": { "actor": "All actors engaged in regulated activities", "action": "maintain records", "modality": "shall", "object": "records demonstrating compliance", "conditions": [ "for a period of [X] years" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "high", "category": "Record Keeping", "source_ref": { "page": 33, "clause": "Section 47.1(c)", "text_snippet": "Maintain records demonstrating compliance for a period of [X] years" } }, { "rule_id": "STD-2024-047.2a", "title": "Risk Management System Implementation", "rule_type": "obligation", "summary": "Actors must implement and maintain a risk management system appropriate to the nature and scale of their activities.", "core_obligation": { "actor": "Actors", "action": "implement and maintain", "modality": "shall", "object": "risk management system", "conditions": [ "appropriate to the nature and scale of their activities" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "high", "category": "Risk Management", "source_ref": { "page": 33, "clause": "Section 47.2(a)", "text_snippet": "Implement and maintain a risk management system appropriate to the nature and scale of their activities" } }, { "rule_id": "STD-2024-047.2b", "title": "Regular Risk Assessment and Mitigation", "rule_type": "obligation", "summary": "Actors must regularly assess and mitigate risks associated with their products, services, or activities.", "core_obligation": { "actor": "Actors", "action": "assess and mitigate risks", "modality": "shall", "object": "risks associated with their products, services, or activities", "conditions": [ "regularly" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "high", "category": "Risk Management", "source_ref": { "page": 33, "clause": "Section 47.2(b)", "text_snippet": "Regularly assess and mitigate risks associated with their products, services, or activities" } }, { "rule_id": "STD-2024-047.2c", "title": "Documentation of Risk Assessments", "rule_type": "obligation", "summary": "Actors must document risk assessments and mitigation measures.", "core_obligation": { "actor": "Actors", "action": "document", "modality": "shall", "object": "risk assessments and mitigation measures", "conditions": [] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "medium", "category": "Risk Management", "source_ref": { "page": 33, "clause": "Section 47.2(c)", "text_snippet": "Document risk assessments and mitigation measures" } }, { "rule_id": "STD-2024-047.3a", "title": "Provision of Accurate Information to Authority", "rule_type": "obligation", "summary": "Actors must provide accurate and complete information to the Competent Authority as required or upon request.", "core_obligation": { "actor": "Actors", "action": "provide information", "modality": "shall", "object": "accurate and complete information", "conditions": [ "to the Competent Authority", "as required by this Act or upon request" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "high", "category": "Information Disclosure", "source_ref": { "page": 33, "clause": "Section 47.3(a)", "text_snippet": "Provide accurate and complete information to the Competent Authority as required by this Act or upon request" } }, { "rule_id": "STD-2024-047.3b", "title": "Prohibition on False or Misleading Information", "rule_type": "obligation", "summary": "Actors must not knowingly or recklessly provide false or misleading information.", "core_obligation": { "actor": "Actors", "action": "not provide false or misleading information", "modality": "shall not", "object": "false or misleading information", "conditions": [ "knowingly or recklessly" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "critical", "category": "Information Disclosure", "source_ref": { "page": 33, "clause": "Section 47.3(b)", "text_snippet": "Not knowingly or recklessly provide false or misleading information" } }, { "rule_id": "STD-2024-047.3c", "title": "Prompt Notification of Significant Changes", "rule_type": "obligation", "summary": "Actors must promptly update the Competent Authority of any significant changes in operations or safety issues identified.", "core_obligation": { "actor": "Actors", "action": "update the Competent Authority", "modality": "shall", "object": "significant changes in operations or safety issues", "conditions": [ "promptly" ] }, "applicability": "All actors engaged in regulated activities under this Act.", "severity": "high", "category": "Information Disclosure", "source_ref": { "page": 33, "clause": "Section 47.3(c)", "text_snippet": "Update the Competent Authority promptly of any significant changes in their operations or any safety issues identified" } }, { "rule_id": "STD-2024-049.1", "title": "Importer Due Diligence - Conformity Assessment Verification", "rule_type": "obligation", "summary": "Importers must ensure that manufacturers have carried out appropriate conformity assessment procedures before placing products on the market.", "core_obligation": { "actor": "Importers", "action": "ensure conformity assessment procedures have been carried out", "modality": "shall", "object": "conformity assessment procedures by manufacturer", "conditions": [ "appropriate procedures must be completed by manufacturer" ] }, "applicability": "All importers placing products on the market under this standard.", "severity": "high", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.1(a)", "text_snippet": "Importers shall: (a) Ensure that the appropriate conformity assessment procedures have been carried out by the manufacturer" } }, { "rule_id": "STD-2024-049.1b", "title": "Importer Due Diligence - Technical Documentation Verification", "rule_type": "obligation", "summary": "Importers must ensure that manufacturers have prepared the required technical documentation for products.", "core_obligation": { "actor": "Importers", "action": "ensure technical documentation has been drawn up", "modality": "shall", "object": "required technical documentation", "conditions": [ "documentation must be prepared by manufacturer" ] }, "applicability": "All importers placing products on the market under this standard.", "severity": "high", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.1(b)", "text_snippet": "Importers shall: (b) Ensure that the manufacturer has drawn up the required technical documentation" } }, { "rule_id": "STD-2024-049.1c", "title": "Importer Due Diligence - Conformity Marking and Documentation", "rule_type": "obligation", "summary": "Importers must ensure products bear required conformity markings and are accompanied by required documents.", "core_obligation": { "actor": "Importers", "action": "ensure product bears conformity marking and has required documents", "modality": "shall", "object": "conformity marking and accompanying documents", "conditions": [ "marking must be present on product", "required documents must accompany product" ] }, "applicability": "All importers placing products on the market under this standard.", "severity": "high", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.1(c)", "text_snippet": "Importers shall: (c) Ensure that the product bears the required conformity marking and is accompanied by the required documents" } }, { "rule_id": "STD-2024-049.2a", "title": "Prohibition on Placing Non-Conforming Products on Market", "rule_type": "obligation", "summary": "Importers are prohibited from placing non-conforming products on the market.", "core_obligation": { "actor": "Importers", "action": "not place non-conforming products on the market", "modality": "shall not", "object": "non-conforming products", "conditions": [] }, "applicability": "All importers under this standard.", "severity": "critical", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.2(a)", "text_snippet": "Importers shall: (a) Not place non-conforming products on the market" } }, { "rule_id": "STD-2024-049.2b", "title": "Notification of Non-Conformity to Authorities", "rule_type": "obligation", "summary": "Importers must inform the manufacturer and Competent Authority when they identify or suspect product non-conformity.", "core_obligation": { "actor": "Importers", "action": "inform manufacturer and Competent Authority", "modality": "shall", "object": "notification of non-conformity", "conditions": [ "when importer considers product is not in conformity", "when importer has reason to believe product is not in conformity" ] }, "applicability": "All importers who identify or suspect non-conforming products.", "severity": "high", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.2(b)", "text_snippet": "Importers shall: (b) Inform the manufacturer and the Competent Authority when they consider or have reason to believe that a product is not in conformity" } }, { "rule_id": "STD-2024-049.2c", "title": "Corrective Measures for Non-Conforming Products", "rule_type": "obligation", "summary": "Importers must ensure corrective measures are taken to bring non-conforming products into conformity, withdraw them, or recall them as appropriate.", "core_obligation": { "actor": "Importers", "action": "ensure corrective measures are taken", "modality": "shall", "object": "corrective measures (conformity, withdrawal, or recall)", "conditions": [ "measures must bring product into conformity, withdraw it, or recall it", "action must be appropriate to circumstances" ] }, "applicability": "All importers dealing with non-conforming products.", "severity": "critical", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.2(c)", "text_snippet": "Importers shall: (c) Ensure that corrective measures are taken to bring the product into conformity, to withdraw it, or to recall it, as appropriate" } }, { "rule_id": "STD-2024-049.3", "title": "Storage and Transport Conditions Compliance", "rule_type": "obligation", "summary": "Importers must ensure that storage and transport conditions do not compromise product compliance with applicable requirements.", "core_obligation": { "actor": "Importers", "action": "ensure storage and transport conditions maintain compliance", "modality": "shall", "object": "storage and transport conditions", "conditions": [ "while product is under importer's responsibility", "conditions must not jeopardise compliance with applicable requirements" ] }, "applicability": "All importers responsible for product storage or transport.", "severity": "high", "category": "Compliance", "source_ref": { "page": 34, "clause": "Section 49.3", "text_snippet": "Importers shall ensure that, while a product is under their responsibility, storage or transport conditions do not jeopardise its compliance with applicable requirements" } }, { "rule_id": "STD-2024-049.4a", "title": "Importer Identification on Products", "rule_type": "obligation", "summary": "Importers must indicate their name, trade name or trademark, and contact address on the product, its packaging, or accompanying documentation.", "core_obligation": { "actor": "Importers", "action": "indicate identification information", "modality": "shall", "object": "name, registered trade name or trademark, and postal address", "conditions": [ "on the product itself", "or on packaging if not possible on product", "or in document accompanying product if not possible on packaging" ] }, "applicability": "All importers placing products on the market.", "severity": "high", "category": "Traceability", "source_ref": { "page": 34, "clause": "Section 49.4(a)", "text_snippet": "Importers shall: (a) Indicate their name, registered trade name or registered trade mark, and the postal address at which they can be contacted on the product or, where that is not possible, on its packaging or in a document accompanying the product" } }, { "rule_id": "STD-2024-049.4b", "title": "Declaration of Conformity and Technical Documentation Retention", "rule_type": "obligation", "summary": "Importers must retain a copy of the declaration of conformity for a specified period after market placement and ensure technical documentation is available to authorities upon request.", "core_obligation": { "actor": "Importers", "action": "keep declaration of conformity and ensure technical documentation availability", "modality": "shall", "object": "declaration of conformity and technical documentation", "conditions": [ "retain for [X] years after product placed on market", "make technical documentation available to Competent Authority upon request" ] }, "applicability": "All importers who have placed products on the market.", "severity": "high", "category": "Record Keeping", "source_ref": { "page": 34, "clause": "Section 49.4(b)", "text_snippet": "Importers shall: (b) Keep a copy of the declaration of conformity for [X] years after the product has been placed on the market and ensure that the technical documentation can be made available to the Competent Authority upon request" } }, { "rule_id": "STD-2024-053.1", "title": "Environmental Impact Assessment Requirement", "rule_type": "obligation", "summary": "Actors whose activities may have significant environmental impacts must conduct environmental impact assessments before commencing new projects or significantly modifying existing ones, implement mitigation measures, and regularly monitor and report on environmental performance.", "core_obligation": { "actor": "Actors whose activities may have significant environmental impacts", "action": "conduct environmental impact assessments, implement mitigation measures, and monitor/report on environmental performance", "modality": "shall", "object": "environmental impact assessments and mitigation measures", "conditions": [ "before commencing new projects", "before significantly modifying existing projects", "regular monitoring and reporting required" ] }, "applicability": "Actors whose activities may have significant environmental impacts", "severity": "high", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.1", "text_snippet": "Actors whose activities may have significant environmental impacts shall: (a) Conduct environmental impact assessments before commencing new projects..." } }, { "rule_id": "STD-2024-053.1a", "title": "Environmental Impact Assessment - Pre-Project Requirement", "rule_type": "obligation", "summary": "Actors must conduct environmental impact assessments before commencing new projects or significantly modifying existing ones.", "core_obligation": { "actor": "Actors whose activities may have significant environmental impacts", "action": "conduct environmental impact assessments", "modality": "shall", "object": "environmental impact assessments", "conditions": [ "before commencing new projects", "before significantly modifying existing ones" ] }, "applicability": "Actors with activities having significant environmental impacts undertaking new or modified projects", "severity": "high", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.1(a)", "text_snippet": "Conduct environmental impact assessments before commencing new projects or significantly modifying existing ones" } }, { "rule_id": "STD-2024-053.1b", "title": "Environmental Risk Mitigation Implementation", "rule_type": "obligation", "summary": "Actors must implement measures to mitigate identified environmental risks.", "core_obligation": { "actor": "Actors whose activities may have significant environmental impacts", "action": "implement mitigation measures", "modality": "shall", "object": "measures to mitigate identified environmental risks", "conditions": [ "for identified environmental risks" ] }, "applicability": "Actors with activities having significant environmental impacts", "severity": "high", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.1(b)", "text_snippet": "Implement measures to mitigate identified environmental risks" } }, { "rule_id": "STD-2024-053.1c", "title": "Environmental Performance Monitoring and Reporting", "rule_type": "obligation", "summary": "Actors must regularly monitor and report on their environmental performance.", "core_obligation": { "actor": "Actors whose activities may have significant environmental impacts", "action": "monitor and report on environmental performance", "modality": "shall", "object": "environmental performance data", "conditions": [ "regularly" ] }, "applicability": "Actors with activities having significant environmental impacts", "severity": "medium", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.1(c)", "text_snippet": "Regularly monitor and report on their environmental performance" } }, { "rule_id": "STD-2024-053.2a", "title": "Waste Reduction and Recycling Programs", "rule_type": "obligation", "summary": "Actors must implement waste reduction and recycling programs.", "core_obligation": { "actor": "Actors", "action": "implement waste reduction and recycling programs", "modality": "shall", "object": "waste reduction and recycling programs", "conditions": [] }, "applicability": "All actors", "severity": "medium", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.2(a)", "text_snippet": "Implement waste reduction and recycling programs" } }, { "rule_id": "STD-2024-053.2b", "title": "Hazardous Waste Disposal Compliance", "rule_type": "obligation", "summary": "Actors must ensure proper disposal of hazardous waste in accordance with applicable regulations.", "core_obligation": { "actor": "Actors", "action": "ensure proper disposal of hazardous waste", "modality": "shall", "object": "hazardous waste", "conditions": [ "in accordance with applicable regulations" ] }, "applicability": "All actors handling hazardous waste", "severity": "high", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.2(b)", "text_snippet": "Ensure proper disposal of hazardous waste in accordance with applicable regulations" } }, { "rule_id": "STD-2024-053.2c", "title": "Waste Management Record Retention", "rule_type": "obligation", "summary": "Actors must keep records of waste generation and disposal for a specified period (duration to be determined).", "core_obligation": { "actor": "Actors", "action": "keep records of waste generation and disposal", "modality": "shall", "object": "waste generation and disposal records", "conditions": [ "for [X] years (duration not specified in document)" ] }, "applicability": "All actors", "severity": "medium", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.2(c)", "text_snippet": "Keep records of waste generation and disposal for [X] years" } }, { "rule_id": "STD-2024-053.3a", "title": "Energy Efficiency Improvement Measures", "rule_type": "obligation", "summary": "Actors must implement measures to improve energy efficiency in their operations.", "core_obligation": { "actor": "Actors", "action": "implement energy efficiency improvement measures", "modality": "shall", "object": "energy efficiency measures", "conditions": [ "in their operations" ] }, "applicability": "All actors", "severity": "medium", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.3(a)", "text_snippet": "Implement measures to improve energy efficiency in their operations" } }, { "rule_id": "STD-2024-053.3b", "title": "Energy Efficiency in Product Design", "rule_type": "obligation", "summary": "Actors must consider energy efficiency in the design and manufacture of products, where applicable.", "core_obligation": { "actor": "Actors", "action": "consider energy efficiency in design and manufacture", "modality": "shall", "object": "energy efficiency considerations in product design and manufacture", "conditions": [ "where applicable" ] }, "applicability": "Actors involved in product design and manufacture", "severity": "medium", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.3(b)", "text_snippet": "Consider energy efficiency in the design and manufacture of products, where applicable" } }, { "rule_id": "STD-2024-053.3c", "title": "Energy Consumption and Efficiency Reporting", "rule_type": "obligation", "summary": "Actors must report on energy consumption and efficiency measures as required by regulations.", "core_obligation": { "actor": "Actors", "action": "report on energy consumption and efficiency measures", "modality": "shall", "object": "energy consumption and efficiency data", "conditions": [ "as required by regulations" ] }, "applicability": "All actors subject to energy reporting regulations", "severity": "medium", "category": "Environmental Protection", "source_ref": { "page": 37, "clause": "Section 53.3(c)", "text_snippet": "Report on energy consumption and efficiency measures as required by regulations" } }, { "rule_id": "STD-2024-054.1", "title": "Annual Reporting Obligation", "rule_type": "obligation", "summary": "Actors shall submit annual reports to the Competent Authority containing summary of activities, compliance status, operational changes, safety/quality issues, audit results, and other prescribed information.", "core_obligation": { "actor": "Actors", "action": "submit annual reports", "modality": "shall", "object": "annual reports to the Competent Authority", "conditions": [ "must include summary of activities carried out", "must include compliance with applicable requirements", "must include any significant changes in operations", "must include any safety or quality issues identified and actions taken", "must include results of any audits or assessments conducted", "must include any other information prescribed by regulations" ] }, "applicability": "All actors subject to the Competent Authority's jurisdiction", "severity": "medium", "category": "Compliance", "source_ref": { "page": 38, "clause": "Section 54.1", "text_snippet": "Actors shall submit annual reports to the Competent Authority, including: (a) Summary of activities carried out..." } }, { "rule_id": "STD-2024-054.2", "title": "Immediate Incident Reporting", "rule_type": "obligation", "summary": "Actors shall immediately report to the Competent Authority any incidents involving death, serious injury, significant property damage, significant non-compliance, product recalls, or other prescribed incidents.", "core_obligation": { "actor": "Actors", "action": "immediately report", "modality": "shall", "object": "incidents to the Competent Authority", "conditions": [ "any incident that has resulted in death, serious injury, or significant property damage", "any significant non-compliance with applicable requirements", "any recall or withdrawal of products from the market", "any other incident prescribed by regulations" ] }, "applicability": "All actors subject to the Competent Authority's jurisdiction", "severity": "critical", "category": "Compliance", "source_ref": { "page": 38, "clause": "Section 54.2", "text_snippet": "Actors shall immediately report to the Competent Authority: (a) Any incident that has resulted in death, serious injury..." } }, { "rule_id": "STD-2024-054.3", "title": "Notification of Material Changes", "rule_type": "obligation", "summary": "Actors shall notify the Competent Authority within a specified timeframe of changes in ownership/control, management personnel, production processes affecting safety/quality, or other prescribed changes.", "core_obligation": { "actor": "Actors", "action": "notify the Competent Authority", "modality": "shall", "object": "material changes", "conditions": [ "within [X] days", "any change in ownership or control", "any significant change in management personnel", "any change in production processes that may affect product safety or quality", "any other change prescribed by regulations" ] }, "applicability": "All actors subject to the Competent Authority's jurisdiction", "severity": "medium", "category": "Compliance", "source_ref": { "page": 38, "clause": "Section 54.3", "text_snippet": "Actors shall notify the Competent Authority within [X] days of: (a) Any change in ownership or control..." } }, { "rule_id": "STD-2024-054.4", "title": "Cooperation with Inspections and Investigations", "rule_type": "obligation", "summary": "Actors shall cooperate fully with inspections or investigations by the Competent Authority, provide access to premises, records, and personnel, and provide requested information in a timely manner.", "core_obligation": { "actor": "Actors", "action": "cooperate with inspections and investigations", "modality": "shall", "object": "inspections or investigations by the Competent Authority", "conditions": [ "cooperate fully with any inspection or investigation", "provide access to premises, records, and personnel as required", "provide any information requested in a timely manner" ] }, "applicability": "All actors subject to the Competent Authority's jurisdiction", "severity": "high", "category": "Compliance", "source_ref": { "page": 38, "clause": "Section 54.4", "text_snippet": "Actors shall: (a) Cooperate fully with any inspection or investigation carried out by the Competent Authority..." } }, { "rule_id": "STD-2024-054.5", "title": "Implementation of Corrective Actions", "rule_type": "obligation", "summary": "Actors shall implement corrective actions required by the Competent Authority within specified timeframes, provide evidence of implementation, and conduct follow-up assessments to ensure effectiveness.", "core_obligation": { "actor": "Actors", "action": "implement corrective actions", "modality": "shall", "object": "corrective actions required by the Competent Authority", "conditions": [ "implement within the specified timeframe", "provide evidence of the implementation as required", "conduct follow-up assessments to ensure effectiveness" ] }, "applicability": "All actors subject to the Competent Authority's jurisdiction", "severity": "high", "category": "Compliance", "source_ref": { "page": 38, "clause": "Section 54.5", "text_snippet": "Actors shall: (a) Implement any corrective actions required by the Competent Authority within the specified timeframe..." } }, { "rule_id": "STD-2024-055.2", "title": "Competence Assessment and Management", "rule_type": "obligation", "summary": "Actors must regularly assess staff competence in key roles, take corrective action when gaps are identified, and ensure only competent personnel perform critical tasks.", "core_obligation": { "actor": "Actors", "action": "assess competence, take corrective action, and restrict critical tasks to competent personnel", "modality": "shall", "object": "staff competence in key roles and critical tasks", "conditions": [ "competence assessments must be conducted regularly", "corrective action required where competence gaps identified", "only competent personnel may perform critical tasks" ] }, "applicability": "All actors subject to this Act with staff in key roles or performing critical tasks.", "severity": "high", "category": "Training and Competence", "source_ref": { "page": 38, "clause": "Section 55.2", "text_snippet": "Actors shall: (a) Regularly assess the competence of staff in key roles; (b) Take corrective action where competence gaps are identified; (c) Ensure that only competent personnel perform critical tasks." } }, { "rule_id": "STD-2024-056.1a", "title": "Conduct Regular Internal Audits", "rule_type": "obligation", "summary": "Actors must conduct regular internal audits to assess compliance with the Act and applicable regulations.", "core_obligation": { "actor": "Actors", "action": "conduct regular internal audits", "modality": "shall", "object": "internal audits", "conditions": [ "to assess compliance with this Act", "to assess compliance with applicable regulations", "on a regular basis" ] }, "applicability": "All actors subject to this Act", "severity": "high", "category": "Compliance", "source_ref": { "page": 39, "clause": "Section 56.1(a)", "text_snippet": "Actors shall: (a) Conduct regular internal audits to assess compliance with this Act and applicable regulations" } }, { "rule_id": "STD-2024-056.1b", "title": "Ensure Audit Competence and Independence", "rule_type": "obligation", "summary": "Actors must ensure that internal audits are conducted by competent and independent personnel.", "core_obligation": { "actor": "Actors", "action": "ensure audits are conducted by qualified personnel", "modality": "shall", "object": "audit personnel", "conditions": [ "personnel must be competent", "personnel must be independent" ] }, "applicability": "All actors conducting internal audits", "severity": "high", "category": "Compliance", "source_ref": { "page": 39, "clause": "Section 56.1(b)", "text_snippet": "Ensure that audits are conducted by competent and independent personnel" } }, { "rule_id": "STD-2024-056.1c", "title": "Document Audit Findings and Corrective Actions", "rule_type": "obligation", "summary": "Actors must document audit findings and any corrective actions taken in response.", "core_obligation": { "actor": "Actors", "action": "document audit findings and corrective actions", "modality": "shall", "object": "audit findings and corrective actions", "conditions": [] }, "applicability": "All actors conducting internal audits", "severity": "medium", "category": "Documentation", "source_ref": { "page": 39, "clause": "Section 56.1(c)", "text_snippet": "Document audit findings and corrective actions taken" } }, { "rule_id": "STD-2024-056.2a", "title": "Conduct Regular Management Reviews", "rule_type": "obligation", "summary": "Actors must conduct regular management reviews of their compliance with the Act and applicable regulations.", "core_obligation": { "actor": "Actors", "action": "conduct regular management reviews", "modality": "shall", "object": "compliance with Act and regulations", "conditions": [ "reviews must be regular", "must cover compliance with this Act", "must cover compliance with applicable regulations" ] }, "applicability": "All actors subject to this Act", "severity": "high", "category": "Compliance", "source_ref": { "page": 39, "clause": "Section 56.2(a)", "text_snippet": "Conduct regular management reviews of their compliance with this Act and applicable regulations" } }, { "rule_id": "STD-2024-056.2b", "title": "Consider Multiple Inputs in Management Reviews", "rule_type": "obligation", "summary": "Actors must ensure that management reviews consider results from internal audits, external inspections, and incident reports.", "core_obligation": { "actor": "Actors", "action": "ensure consideration of specified inputs in reviews", "modality": "shall", "object": "management review inputs", "conditions": [ "must consider internal audit results", "must consider external inspection results", "must consider incident reports" ] }, "applicability": "All actors conducting management reviews", "severity": "high", "category": "Compliance", "source_ref": { "page": 39, "clause": "Section 56.2(b)", "text_snippet": "Ensure that the results of internal audits, external inspections, and incident reports are considered in these reviews" } }, { "rule_id": "STD-2024-056.2c", "title": "Document Management Review Outcomes", "rule_type": "obligation", "summary": "Actors must document the outcomes of management reviews and any decisions made during those reviews.", "core_obligation": { "actor": "Actors", "action": "document review outcomes and decisions", "modality": "shall", "object": "management review outcomes and decisions", "conditions": [] }, "applicability": "All actors conducting management reviews", "severity": "medium", "category": "Documentation", "source_ref": { "page": 39, "clause": "Section 56.2(c)", "text_snippet": "Document the outcomes of management reviews and any decisions made" } }, { "rule_id": "STD-2024-058.1", "title": "Corporate Criminal Liability for Acts of Leadership", "rule_type": "sanction", "summary": "Legal persons shall be criminally liable for offences committed for their benefit by natural persons in leading positions who have power of representation, decision-making authority, or control authority within the organization.", "core_obligation": { "actor": "Legal persons", "action": "be criminally liable for offences committed by persons in leading positions", "modality": "shall", "object": "criminal liability for offences under specified Sections", "conditions": [ "Offences committed for the legal person's benefit", "By natural person acting individually or as part of an organ", "Person has leading position based on: (a) power of representation, OR (b) authority to take decisions on behalf of legal person, OR (c) authority to exercise control within legal person" ] }, "applicability": "All legal persons whose representatives, decision-makers, or controllers commit offences for the legal person's benefit.", "severity": "critical", "category": "Criminal Liability", "source_ref": { "page": 40, "clause": "Section 58.1", "text_snippet": "Legal persons shall be criminally liable for offences under Sections ... OR infringements of Sections … committed for their benefit by any natural person, acting either individually or as part of an organ of the legal person, who has a leading position..." } }, { "rule_id": "STD-2024-058.2", "title": "Parent Company Liability for Subsidiary Corruption", "rule_type": "sanction", "summary": "A parent company may be held liable for corrupt acts committed by its subsidiaries if the parent had knowledge and failed to prevent, or if the subsidiary was acting as the parent's agent.", "core_obligation": { "actor": "Parent company", "action": "be held liable for corrupt acts of subsidiaries", "modality": "may", "object": "liability for corrupt acts committed by subsidiaries", "conditions": [ "(a) Parent company had knowledge of corrupt practices AND failed to take reasonable steps to prevent them, OR", "(b) Subsidiary was acting as an agent of the parent company when committing the corrupt acts" ] }, "applicability": "Parent companies with subsidiaries that engage in corrupt practices.", "severity": "critical", "category": "Corporate Liability", "source_ref": { "page": 40, "clause": "Section 58.2", "text_snippet": "A parent company may be held liable for corrupt acts committed by its subsidiaries if it is established that: (a) The parent company had knowledge of the corrupt practices and failed to take reasonable steps to prevent them; or (b) The subsidiary was acting as an agent..." } }, { "rule_id": "STD-2024-058.3", "title": "Liability for Failure to Supervise Employees and Agents", "rule_type": "obligation", "summary": "Legal persons shall be liable for failing to adequately supervise their employees or agents if such failure contributed to corrupt practices.", "core_obligation": { "actor": "Legal persons", "action": "be liable for inadequate supervision resulting in corrupt practices", "modality": "shall", "object": "liability for failure to supervise", "conditions": [ "Failure to adequately supervise employees or agents", "Resulting in corrupt practices", "Proven that such failure contributed to the commission of the offence" ] }, "applicability": "All legal persons with employees or agents who may engage in corrupt practices.", "severity": "critical", "category": "Supervisory Obligations", "source_ref": { "page": 40, "clause": "Section 58.3", "text_snippet": "Legal persons shall be liable for failing to adequately supervise their employees or agents, resulting in corrupt practices, if it is proven that such failure contributed to the commission of the offence." } }, { "rule_id": "STD-2024-060.4c", "title": "Maintenance of Enforcement Tools Range", "rule_type": "obligation", "summary": "The Competent Authority shall maintain a range of enforcement tools including warnings, directive orders, license conditions, financial penalties, license suspension/revocation, and criminal referrals.", "core_obligation": { "actor": "Competent Authority", "action": "maintain range of enforcement tools", "modality": "shall", "object": "enforcement tools", "conditions": [ "including formal warnings", "directive orders", "additional license conditions", "financial penalties", "suspension or revocation of licenses", "referral for criminal prosecution where appropriate" ] }, "applicability": "All enforcement scenarios", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 41, "clause": "Section 60.4(c)", "text_snippet": "Maintain a range of enforcement tools, including: (i) Formal warnings; (ii) Directive orders...(v) Suspension or revocation of licenses; and (vi) Referral for criminal prosecution..." } }, { "rule_id": "STD-2024-060.4d", "title": "Publication of Enforcement Action Summaries", "rule_type": "obligation", "summary": "The Competent Authority shall publish anonymised summaries of enforcement actions taken to promote transparency and deterrence.", "core_obligation": { "actor": "Competent Authority", "action": "publish anonymised summaries of enforcement actions", "modality": "shall", "object": "enforcement action summaries", "conditions": [ "anonymised", "to promote transparency and deterrence" ] }, "applicability": "All enforcement actions taken by the Authority", "severity": "medium", "category": "Transparency", "source_ref": { "page": 41, "clause": "Section 60.4(d)", "text_snippet": "Publish anonymised summaries of enforcement actions taken to promote transparency and deterrence" } }, { "rule_id": "STD-2024-060.4e", "title": "Internal Quality Control for Enforcement Decisions", "rule_type": "obligation", "summary": "The Competent Authority shall establish an internal quality control process for enforcement decisions to ensure consistency and proportionality.", "core_obligation": { "actor": "Competent Authority", "action": "establish internal quality control process", "modality": "shall", "object": "enforcement decisions", "conditions": [ "to ensure consistency and proportionality" ] }, "applicability": "All enforcement decisions made by the Authority", "severity": "high", "category": "Governance", "source_ref": { "page": 41, "clause": "Section 60.4(e)", "text_snippet": "Establish an internal quality control process for enforcement decisions to ensure consistency and proportionality" } }, { "rule_id": "STD-2024-060.4f", "title": "Whistleblower Protection Program", "rule_type": "obligation", "summary": "The Competent Authority shall implement a whistleblower protection program to encourage reporting of regulatory violations.", "core_obligation": { "actor": "Competent Authority", "action": "implement whistleblower protection program", "modality": "shall", "object": "whistleblower protection program", "conditions": [ "to encourage reporting of regulatory violations" ] }, "applicability": "All potential whistleblowers reporting violations", "severity": "high", "category": "Enforcement", "source_ref": { "page": 41, "clause": "Section 60.4(f)", "text_snippet": "Implement a whistleblower protection program to encourage reporting of regulatory violations" } }, { "rule_id": "STD-2024-060.5a", "title": "Development of Guidance Materials", "rule_type": "obligation", "summary": "The Competent Authority shall develop and publish guidance materials to assist regulated entities in understanding and complying with regulatory requirements.", "core_obligation": { "actor": "Competent Authority", "action": "develop and publish guidance materials", "modality": "shall", "object": "guidance materials", "conditions": [ "to assist regulated entities in understanding and complying with regulatory requirements" ] }, "applicability": "All regulated entities", "severity": "medium", "category": "Guidance", "source_ref": { "page": 41, "clause": "Section 60.5(a)", "text_snippet": "Develop and publish guidance materials to assist regulated entities in understanding and complying with regulatory requirements" } }, { "rule_id": "STD-2024-060.5b", "title": "Formal Clarification Process", "rule_type": "obligation", "summary": "The Competent Authority shall establish a formal process for regulated entities to seek clarification or rulings on the application of regulations to specific situations.", "core_obligation": { "actor": "Competent Authority", "action": "establish formal clarification process", "modality": "shall", "object": "clarification process", "conditions": [ "for regulated entities to seek clarification or rulings on application of regulations to specific situations" ] }, "applicability": "All regulated entities seeking regulatory clarification", "severity": "medium", "category": "Guidance", "source_ref": { "page": 41, "clause": "Section 60.5(b)", "text_snippet": "Establish a formal process for regulated entities to seek clarification or rulings on the application of regulations to specific situations" } }, { "rule_id": "STD-2024-060.5c", "title": "Regular Compliance Workshops and Seminars", "rule_type": "obligation", "summary": "The Competent Authority shall conduct regular workshops and seminars for regulated entities on compliance topics.", "core_obligation": { "actor": "Competent Authority", "action": "conduct workshops and seminars", "modality": "shall", "object": "compliance workshops and seminars", "conditions": [ "regular frequency", "for regulated entities", "on compliance topics" ] }, "applicability": "All regulated entities", "severity": "low", "category": "Education", "source_ref": { "page": 41, "clause": "Section 60.5(c)", "text_snippet": "Conduct regular workshops and seminars for regulated entities on compliance topics" } }, { "rule_id": "STD-2024-060.5d", "title": "E-Learning Modules Development", "rule_type": "obligation", "summary": "The Competent Authority shall develop and maintain e-learning modules on key regulatory requirements.", "core_obligation": { "actor": "Competent Authority", "action": "develop and maintain e-learning modules", "modality": "shall", "object": "e-learning modules", "conditions": [ "on key regulatory requirements" ] }, "applicability": "All regulated entities accessing training materials", "severity": "low", "category": "Education", "source_ref": { "page": 41, "clause": "Section 60.5(d)", "text_snippet": "Develop and maintain e-learning modules on key regulatory requirements" } }, { "rule_id": "STD-2024-060.5e", "title": "Industry Association Engagement", "rule_type": "obligation", "summary": "The Competent Authority shall engage with industry associations to promote best practices and address common compliance challenges.", "core_obligation": { "actor": "Competent Authority", "action": "engage with industry associations", "modality": "shall", "object": "industry associations", "conditions": [ "to promote best practices", "to address common compliance challenges" ] }, "applicability": "Industry associations and their members", "severity": "low", "category": "Stakeholder Engagement", "source_ref": { "page": 41, "clause": "Section 60.5(e)", "text_snippet": "Engage with industry associations to promote best practices and address common compliance challenges" } }, { "rule_id": "STD-2024-060.5f", "title": "Quarterly Newsletter Publication", "rule_type": "obligation", "summary": "The Competent Authority shall publish a quarterly newsletter highlighting regulatory developments, enforcement trends, and emerging risks.", "core_obligation": { "actor": "Competent Authority", "action": "publish quarterly newsletter", "modality": "shall", "object": "newsletter", "conditions": [ "quarterly frequency", "highlighting regulatory developments", "enforcement trends", "emerging risks" ] }, "applicability": "All regulated entities and stakeholders", "severity": "low", "category": "Communication", "source_ref": { "page": 41, "clause": "Section 60.5(f)", "text_snippet": "Publish a quarterly newsletter highlighting regulatory developments, enforcement trends, and emerging risks" } }, { "rule_id": "STD-2024-060.5g", "title": "Public FAQ Section Maintenance", "rule_type": "obligation", "summary": "The Competent Authority shall maintain a public FAQ section on the Authority's website, updated regularly based on common queries received.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public FAQ section", "modality": "shall", "object": "FAQ section on website", "conditions": [ "updated regularly", "based on common queries received" ] }, "applicability": "All regulated entities and public accessing the website", "severity": "low", "category": "Communication", "source_ref": { "page": 41, "clause": "Section 60.5(g)", "text_snippet": "Maintain a public FAQ section on the Authority's website, updated regularly based on common queries received" } }, { "rule_id": "STD-2024-060.5h", "title": "Dedicated Compliance Helpline", "rule_type": "obligation", "summary": "The Competent Authority shall create a dedicated helpline for regulated entities to provide real-time assistance on compliance issues.", "core_obligation": { "actor": "Competent Authority", "action": "create dedicated helpline", "modality": "shall", "object": "compliance helpline", "conditions": [ "for regulated entities", "to provide real-time assistance on compliance issues" ] }, "applicability": "All regulated entities seeking compliance assistance", "severity": "medium", "category": "Support Services", "source_ref": { "page": 41, "clause": "Section 60.5(h)", "text_snippet": "Create a dedicated helpline for regulated entities to provide real-time assistance on compliance issues" } }, { "rule_id": "STD-2024-061", "title": "Right to Appeal Civil Penalties", "rule_type": "power", "summary": "Any person aggrieved by a civil penalty has the right to appeal to the Regulatory Appeals Tribunal within a specified timeframe.", "core_obligation": { "actor": "Any person aggrieved by a civil penalty", "action": "appeal to the Regulatory Appeals Tribunal", "modality": "may", "object": "civil penalty determination", "conditions": [ "within [X] days of the final determination" ] }, "applicability": "Any person subject to a civil penalty under this regulation.", "severity": "high", "category": "Appeals and Procedural Rights", "source_ref": { "page": 86, "clause": "Section 6.1(a)", "text_snippet": "Any person aggrieved by a civil penalty may appeal to the [Regulatory Appeals Tribunal] within [X] days of the final determination." } }, { "rule_id": "STD-2024-062", "title": "Grounds for Appeal", "rule_type": "definition", "summary": "Appeals may be made on four specified grounds: error of law, error of fact, procedural impropriety, or unreasonableness of penalty amount.", "core_obligation": { "actor": "Appellant", "action": "base appeal on specified grounds", "modality": "may", "object": "appeal grounds", "conditions": [ "error of law", "error of fact", "procedural impropriety", "unreasonableness of the penalty amount" ] }, "applicability": "All appellants challenging civil penalties.", "severity": "medium", "category": "Appeals and Procedural Rights", "source_ref": { "page": 86, "clause": "Section 6.2(a)", "text_snippet": "Appeals may be made on grounds of: (i) Error of law; (ii) Error of fact; (iii) Procedural impropriety; (iv) Unreasonableness of the penalty amount." } }, { "rule_id": "STD-2024-062.1-001", "title": "Mandatory Cooperation Duty Between Public Authorities", "rule_type": "obligation", "summary": "All public authorities have a legal duty to cooperate with each other in matters related to their regulatory and enforcement activities.", "core_obligation": { "actor": "All public authorities", "action": "cooperate with each other", "modality": "shall", "object": "matters related to regulatory and enforcement activities", "conditions": [] }, "applicability": "All public authorities engaged in regulatory and enforcement activities.", "severity": "high", "category": "Inter-Authority Cooperation", "source_ref": { "page": 45, "clause": "62.1(a)", "text_snippet": "All public authorities shall have a legal duty to cooperate with each other in matters related to their regulatory and enforcement activities" } }, { "rule_id": "STD-2024-062.1-003", "title": "Provision of Expert Assistance", "rule_type": "obligation", "summary": "Public authorities must provide expert assistance to other authorities when requested.", "core_obligation": { "actor": "Public authorities", "action": "provide expert assistance", "modality": "shall", "object": "expert assistance", "conditions": [ "when requested" ] }, "applicability": "All public authorities with relevant expertise.", "severity": "medium", "category": "Inter-Authority Cooperation", "source_ref": { "page": 45, "clause": "62.1(b)(ii)", "text_snippet": "Providing expert assistance when requested" } }, { "rule_id": "STD-2024-062.1-004", "title": "Participation in Joint Investigations", "rule_type": "obligation", "summary": "Public authorities must participate in joint investigations or enforcement actions when appropriate.", "core_obligation": { "actor": "Public authorities", "action": "participate in joint investigations or enforcement actions", "modality": "shall", "object": "joint investigations or enforcement actions", "conditions": [ "when appropriate" ] }, "applicability": "All public authorities involved in enforcement activities.", "severity": "high", "category": "Joint Enforcement", "source_ref": { "page": 45, "clause": "62.1(b)(iii)", "text_snippet": "Participating in joint investigations or enforcement actions when appropriate" } }, { "rule_id": "STD-2024-062.1-005", "title": "Limited Grounds for Refusing Cooperation", "rule_type": "power", "summary": "Authorities may only refuse cooperation on specific grounds: legal prohibitions, national security concerns, or ongoing criminal investigations.", "core_obligation": { "actor": "Authorities", "action": "refuse cooperation", "modality": "may", "object": "cooperation requests", "conditions": [ "only on grounds of legal prohibitions on information sharing", "national security concerns", "ongoing criminal investigations that could be compromised" ] }, "applicability": "All public authorities receiving cooperation requests.", "severity": "high", "category": "Inter-Authority Cooperation", "source_ref": { "page": 45, "clause": "62.1(c)", "text_snippet": "Authorities may only refuse cooperation on grounds of: (i) Legal prohibitions on information sharing; (ii) National security concerns; and (iii) Ongoing criminal investigations" } }, { "rule_id": "STD-2024-062.1-006", "title": "Written Justification for Cooperation Refusal", "rule_type": "obligation", "summary": "Any refusal to cooperate must be justified in writing to the requesting authority and reported to the RCC.", "core_obligation": { "actor": "Authorities", "action": "justify refusal in writing and report", "modality": "must", "object": "refusal to cooperate", "conditions": [ "to the requesting authority", "reported to the RCC" ] }, "applicability": "All authorities refusing cooperation requests.", "severity": "high", "category": "Accountability", "source_ref": { "page": 45, "clause": "62.1(d)", "text_snippet": "Any refusal to cooperate must be justified in writing to the requesting authority and reported to the RCC" } }, { "rule_id": "STD-2024-062.1-007", "title": "Centralized Cooperation Tracking System", "rule_type": "obligation", "summary": "Authorities must establish a centralized tracking system for cooperation requests and responses to ensure accountability.", "core_obligation": { "actor": "Authorities", "action": "establish a centralized tracking system", "modality": "implied shall", "object": "cooperation requests and responses", "conditions": [ "to ensure accountability" ] }, "applicability": "All public authorities participating in inter-authority cooperation.", "severity": "medium", "category": "Administrative Systems", "source_ref": { "page": 45, "clause": "62.1(e)", "text_snippet": "Establish a centralised tracking system for cooperation requests and responses to ensure accountability" } }, { "rule_id": "STD-2024-062.2-001", "title": "Power to Establish Joint Operation Teams", "rule_type": "power", "summary": "Authorities may establish joint operation teams for complex cases involving multiple regulatory domains.", "core_obligation": { "actor": "Authorities", "action": "establish joint operation teams", "modality": "may", "object": "joint operation teams", "conditions": [ "for complex cases involving multiple regulatory domains" ] }, "applicability": "All authorities dealing with complex multi-domain cases.", "severity": "medium", "category": "Joint Operations", "source_ref": { "page": 45, "clause": "62.2(a)", "text_snippet": "Authorities may establish joint operation teams for complex cases involving multiple regulatory domains" } }, { "rule_id": "STD-2024-062.2-002", "title": "Joint Operation Team Operating Requirements", "rule_type": "obligation", "summary": "Joint operation teams must operate under agreed terms of reference, have a designated lead authority, develop joint plans, and share all relevant information.", "core_obligation": { "actor": "Joint operation teams", "action": "operate under specified requirements", "modality": "shall", "object": "joint operations", "conditions": [ "under terms of reference agreed by all participating authorities", "with designated lead authority for coordination", "develop joint investigation or action plans", "share all relevant information among team members" ] }, "applicability": "All joint operation teams established under 62.2(a).", "severity": "high", "category": "Joint Operations", "source_ref": { "page": 45, "clause": "62.2(b)", "text_snippet": "Joint operation teams shall: (i) Operate under terms of reference agreed by all participating authorities; (ii) Have a designated lead authority..." } }, { "rule_id": "STD-2024-062.2-003", "title": "Resource Provision for Joint Operations", "rule_type": "obligation", "summary": "Participating authorities must make available necessary resources, including staff and equipment, to support joint operations.", "core_obligation": { "actor": "Participating authorities", "action": "make available necessary resources", "modality": "shall", "object": "resources including staff and equipment", "conditions": [ "to support joint operations" ] }, "applicability": "All authorities participating in joint operations.", "severity": "high", "category": "Resource Allocation", "source_ref": { "page": 45, "clause": "62.2(c)", "text_snippet": "Participating authorities shall make available necessary resources, including staff and equipment, to support joint operations" } }, { "rule_id": "STD-2024-062.2-004", "title": "Reporting Joint Operation Outcomes", "rule_type": "obligation", "summary": "The outcomes of joint operations must be reported to the RCC and used to inform future cooperation initiatives.", "core_obligation": { "actor": "Participating authorities", "action": "report outcomes", "modality": "shall", "object": "outcomes of joint operations", "conditions": [ "to the RCC", "used to inform future cooperation initiatives" ] }, "applicability": "All authorities conducting joint operations.", "severity": "medium", "category": "Reporting", "source_ref": { "page": 45, "clause": "62.2(d)", "text_snippet": "The outcomes of joint operations shall be reported to the RCC and used to inform future cooperation initiatives" } }, { "rule_id": "STD-2024-062.2-005", "title": "Joint Training Exercises Implementation", "rule_type": "obligation", "summary": "Authorities must implement joint training exercises to improve coordination and effectiveness of joint operations.", "core_obligation": { "actor": "Authorities", "action": "implement joint training exercises", "modality": "implied shall", "object": "joint training exercises", "conditions": [ "to improve coordination and effectiveness of joint operations" ] }, "applicability": "All authorities participating in joint operations.", "severity": "low", "category": "Training and Development", "source_ref": [ { "page": 45, "clause": "62.2(e)", "text_snippet": "Implement joint training exercises to improve coordination and effectiveness of joint operations", "_origin_rule_id": "STD-2024-062.2-005" }, { "page": 45, "clause": "62.2(e)", "text_snippet": "Implement joint training exercises to improve coordination and effectiveness of joint operations", "_origin_rule_id": "STD-2024-062.2e" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-062.2d", "title": "Joint Operations Outcome Reporting", "rule_type": "obligation", "summary": "Authorities must report outcomes of joint operations to the RCC and use them to inform future cooperation initiatives.", "core_obligation": { "actor": "Authorities", "action": "report outcomes of joint operations to RCC", "modality": "shall", "object": "joint operations outcomes", "conditions": [ "outcomes used to inform future cooperation initiatives" ] }, "applicability": "All authorities conducting joint operations", "severity": "medium", "category": "Coordination", "source_ref": { "page": 45, "clause": "62.2(d)", "text_snippet": "The outcomes of joint operations shall be reported to the RCC and used to inform future cooperation initiatives" } }, { "rule_id": "STD-2024-062.3-001", "title": "Establishment of Resource Sharing Mechanisms", "rule_type": "obligation", "summary": "Authorities must establish mechanisms for sharing specialized resources including technical experts, laboratory facilities, data analysis capabilities, and training programs.", "core_obligation": { "actor": "Authorities", "action": "establish mechanisms for sharing specialized resources", "modality": "shall", "object": "specialized resources", "conditions": [ "including technical experts", "laboratory facilities", "data analysis capabilities", "training programs" ] }, "applicability": "All public authorities with specialized resources.", "severity": "high", "category": "Resource Sharing", "source_ref": { "page": 45, "clause": "62.3(a)", "text_snippet": "Authorities shall establish mechanisms for sharing specialised resources, including: (i) Technical experts; (ii) Laboratory facilities; (iii) Data analysis capabilities; and (iv) Training programs" } }, { "rule_id": "STD-2024-062.3-002", "title": "RCC Central Resource Database Maintenance", "rule_type": "obligation", "summary": "The RCC must maintain a central database of sharable resources across all authorities.", "core_obligation": { "actor": "RCC", "action": "maintain a central database", "modality": "shall", "object": "sharable resources across all authorities", "conditions": [] }, "applicability": "The Regulatory Coordination Committee (RCC).", "severity": "medium", "category": "Information Management", "source_ref": [ { "page": 45, "clause": "62.3(b)", "text_snippet": "The RCC shall maintain a central database of sharable resources across all authorities", "_origin_rule_id": "STD-2024-062.3-002" }, { "page": 45, "clause": "62.3(b)", "text_snippet": "The RCC shall maintain a central database of sharable resources across all authorities", "_origin_rule_id": "STD-2024-062.3b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-062.3-003", "title": "Development of Resource Sharing Protocols", "rule_type": "obligation", "summary": "Authorities must develop standard protocols for requesting resource support, determining priority in competing needs, and cost allocation for shared resources.", "core_obligation": { "actor": "Authorities", "action": "develop standard protocols", "modality": "shall", "object": "resource sharing procedures", "conditions": [ "for requesting resource support from other authorities", "determining priority in case of competing resource needs", "cost allocation for shared resources" ] }, "applicability": "All authorities participating in resource sharing.", "severity": "medium", "category": "Resource Sharing", "source_ref": { "page": 45, "clause": "62.3(c)", "text_snippet": "Authorities shall develop standard protocols for: (i) Requesting resource support from other authorities; (ii) Determining priority in case of competing resource needs; and (iii) Cost allocation" } }, { "rule_id": "STD-2024-062.3-004", "title": "Implementation of Resource-Sharing Agreement", "rule_type": "obligation", "summary": "Authorities must implement a resource-sharing agreement to formalize the terms and conditions of shared resource use.", "core_obligation": { "actor": "Authorities", "action": "implement a resource-sharing agreement", "modality": "implied shall", "object": "resource-sharing agreement", "conditions": [ "to formalise the terms and conditions of shared resource use" ] }, "applicability": "All authorities participating in resource sharing.", "severity": "medium", "category": "Resource Sharing", "source_ref": { "page": 45, "clause": "62.3(d)", "text_snippet": "Implement a resource-sharing agreement to formalise the terms and conditions of shared resource use" } }, { "rule_id": "STD-2024-062.3a", "title": "Specialized Resource Sharing Mechanisms", "rule_type": "obligation", "summary": "Authorities must establish mechanisms for sharing specialized resources including technical experts, laboratory facilities, data analysis capabilities, and training programs.", "core_obligation": { "actor": "Authorities", "action": "establish mechanisms for sharing specialized resources", "modality": "shall", "object": "specialized resources (technical experts, laboratory facilities, data analysis capabilities, training programs)", "conditions": [] }, "applicability": "All authorities with specialized resources", "severity": "high", "category": "Resource Management", "source_ref": { "page": 45, "clause": "62.3(a)", "text_snippet": "Authorities shall establish mechanisms for sharing specialised resources, including: (i) Technical experts; (ii) Laboratory facilities; (iii) Data analysis capabilities; and (iv) Training programs" } }, { "rule_id": "STD-2024-062.3c", "title": "Standard Resource Request Protocols", "rule_type": "obligation", "summary": "Authorities must develop standard protocols for requesting resource support, determining priority in competing needs, and cost allocation for shared resources.", "core_obligation": { "actor": "Authorities", "action": "develop standard protocols", "modality": "shall", "object": "protocols for resource requests, priority determination, and cost allocation", "conditions": [] }, "applicability": "All authorities participating in resource sharing", "severity": "medium", "category": "Resource Management", "source_ref": { "page": 45, "clause": "62.3(c)", "text_snippet": "Authorities shall develop standard protocols for: (i) Requesting resource support from other authorities; (ii) Determining priority in case of competing resource needs; and (iii) Cost allocation for shared resources" } }, { "rule_id": "STD-2024-062.3d", "title": "Resource-Sharing Agreement Implementation", "rule_type": "obligation", "summary": "Authorities must implement a resource-sharing agreement to formalize the terms and conditions of shared resource use.", "core_obligation": { "actor": "Authorities", "action": "implement resource-sharing agreement", "modality": "shall", "object": "resource-sharing agreement", "conditions": [ "to formalize terms and conditions of shared resource use" ] }, "applicability": "All authorities engaged in resource sharing", "severity": "medium", "category": "Resource Management", "source_ref": { "page": 45, "clause": "62.3(d)", "text_snippet": "Implement a resource-sharing agreement to formalise the terms and conditions of shared resource use" } }, { "rule_id": "STD-2024-062.4-001", "title": "Notification of Significant Policy Changes to RCC", "rule_type": "obligation", "summary": "Authorities must notify the RCC of any planned significant policy or regulatory changes.", "core_obligation": { "actor": "Authorities", "action": "notify the RCC", "modality": "shall", "object": "planned significant policy or regulatory changes", "conditions": [] }, "applicability": "All authorities planning significant policy or regulatory changes.", "severity": "high", "category": "Policy Coordination", "source_ref": [ { "page": 45, "clause": "62.4(a)(i)", "text_snippet": "Notify the RCC of any planned significant policy or regulatory changes", "_origin_rule_id": "STD-2024-062.4-001" }, { "page": 45, "clause": "62.4(a)(i)", "text_snippet": "Notify the RCC of any planned significant policy or regulatory changes", "_origin_rule_id": "STD-2024-062.4a-i" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-062.4-002", "title": "Invitation of Input During Policy Development", "rule_type": "obligation", "summary": "Authorities must invite input from other relevant authorities during policy development processes.", "core_obligation": { "actor": "Authorities", "action": "invite input from other relevant authorities", "modality": "shall", "object": "policy development processes", "conditions": [ "during policy development processes" ] }, "applicability": "All authorities developing new policies or regulations.", "severity": "medium", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(a)(ii)", "text_snippet": "Invite input from other relevant authorities during policy development processes" } }, { "rule_id": "STD-2024-062.4-003", "title": "Consideration of Wider Regulatory Landscape", "rule_type": "obligation", "summary": "Authorities must consider the wider regulatory landscape when developing new policies or regulations.", "core_obligation": { "actor": "Authorities", "action": "consider the wider regulatory landscape", "modality": "shall", "object": "new policies or regulations", "conditions": [ "when developing new policies or regulations" ] }, "applicability": "All authorities developing new policies or regulations.", "severity": "medium", "category": "Policy Coordination", "source_ref": [ { "page": 45, "clause": "62.4(a)(iii)", "text_snippet": "Consider the wider regulatory landscape when developing new policies or regulations", "_origin_rule_id": "STD-2024-062.4-003" }, { "page": 45, "clause": "62.4(a)(iii)", "text_snippet": "Consider the wider regulatory landscape when developing new policies or regulations", "_origin_rule_id": "STD-2024-062.4a-iii" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-062.4-004", "title": "RCC Maintenance of Regulatory Calendar", "rule_type": "obligation", "summary": "The RCC must maintain a forward-looking regulatory calendar.", "core_obligation": { "actor": "RCC", "action": "maintain a forward-looking regulatory calendar", "modality": "shall", "object": "regulatory calendar", "conditions": [] }, "applicability": "The Regulatory Coordination Committee (RCC).", "severity": "medium", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(b)(i)", "text_snippet": "Maintain a forward-looking regulatory calendar" } }, { "rule_id": "STD-2024-062.4-005", "title": "RCC Identification of Joint Policy Opportunities", "rule_type": "obligation", "summary": "The RCC must identify opportunities for joint policy development on cross-cutting issues.", "core_obligation": { "actor": "RCC", "action": "identify opportunities for joint policy development", "modality": "shall", "object": "cross-cutting issues", "conditions": [] }, "applicability": "The Regulatory Coordination Committee (RCC).", "severity": "low", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(b)(ii)", "text_snippet": "Identify opportunities for joint policy development on cross-cutting issues" } }, { "rule_id": "STD-2024-062.4-006", "title": "RCC Facilitation of Policy Coordination Workshops", "rule_type": "obligation", "summary": "The RCC must facilitate policy coordination workshops involving multiple authorities.", "core_obligation": { "actor": "RCC", "action": "facilitate policy coordination workshops", "modality": "shall", "object": "policy coordination workshops", "conditions": [ "involving multiple authorities" ] }, "applicability": "The Regulatory Coordination Committee (RCC).", "severity": "low", "category": "Policy Coordination", "source_ref": [ { "page": 45, "clause": "62.4(b)(iii)", "text_snippet": "Facilitate policy coordination workshops involving multiple authorities", "_origin_rule_id": "STD-2024-062.4-006" }, { "page": 45, "clause": "62.4(b)(iii)", "text_snippet": "Facilitate policy coordination workshops involving multiple authorities", "_origin_rule_id": "STD-2024-062.4b-iii" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-062.4-007", "title": "Establishment of Permanent Working Groups", "rule_type": "obligation", "summary": "Where multiple authorities regulate the same sector or issue, they must establish permanent working groups to ensure ongoing policy alignment.", "core_obligation": { "actor": "Authorities regulating the same sector or issue", "action": "establish permanent working groups", "modality": "shall", "object": "permanent working groups", "conditions": [ "to ensure ongoing policy alignment" ] }, "applicability": "Authorities with overlapping regulatory jurisdiction over the same sector or issue.", "severity": "high", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(c)", "text_snippet": "Where multiple authorities regulate the same sector or issue, they shall establish permanent working groups to ensure ongoing policy alignment" } }, { "rule_id": "STD-2024-062.4-008", "title": "Publication of Joint Policy Statements", "rule_type": "obligation", "summary": "Authorities must publish joint policy statements to provide clarity and guidance to regulated entities.", "core_obligation": { "actor": "Authorities", "action": "publish joint policy statements", "modality": "shall", "object": "joint policy statements", "conditions": [ "to provide clarity and guidance to regulated entities" ] }, "applicability": "Authorities engaged in coordinated policy development.", "severity": "medium", "category": "Policy Communication", "source_ref": [ { "page": 45, "clause": "62.4(d)", "text_snippet": "Authorities shall publish joint policy statements to provide clarity and guidance to regulated entities", "_origin_rule_id": "STD-2024-062.4-008" }, { "page": 45, "clause": "62.4(d)", "text_snippet": "Authorities shall publish joint policy statements to provide clarity and guidance to regulated entities", "_origin_rule_id": "STD-2024-062.4d" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-062.4a-ii", "title": "Input Invitation During Policy Development", "rule_type": "obligation", "summary": "Authorities must invite input from other relevant authorities during policy development processes.", "core_obligation": { "actor": "Authorities", "action": "invite input from other relevant authorities", "modality": "shall", "object": "input during policy development", "conditions": [] }, "applicability": "All authorities developing policies", "severity": "medium", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(a)(ii)", "text_snippet": "Invite input from other relevant authorities during policy development processes" } }, { "rule_id": "STD-2024-062.4b-i", "title": "RCC Regulatory Calendar Maintenance", "rule_type": "obligation", "summary": "The RCC must maintain a forward-looking regulatory calendar.", "core_obligation": { "actor": "RCC", "action": "maintain regulatory calendar", "modality": "shall", "object": "forward-looking regulatory calendar", "conditions": [] }, "applicability": "RCC (Regulatory Coordination Committee)", "severity": "medium", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(b)(i)", "text_snippet": "Maintain a forward-looking regulatory calendar" } }, { "rule_id": "STD-2024-062.4b-ii", "title": "Joint Policy Development Opportunity Identification", "rule_type": "obligation", "summary": "The RCC must identify opportunities for joint policy development on cross-cutting issues.", "core_obligation": { "actor": "RCC", "action": "identify opportunities for joint policy development", "modality": "shall", "object": "joint policy development opportunities", "conditions": [ "on cross-cutting issues" ] }, "applicability": "RCC (Regulatory Coordination Committee)", "severity": "medium", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(b)(ii)", "text_snippet": "Identify opportunities for joint policy development on cross-cutting issues" } }, { "rule_id": "STD-2024-062.4c", "title": "Permanent Working Groups for Same Sector Regulation", "rule_type": "obligation", "summary": "Where multiple authorities regulate the same sector or issue, they must establish permanent working groups to ensure ongoing policy alignment.", "core_obligation": { "actor": "Authorities", "action": "establish permanent working groups", "modality": "shall", "object": "permanent working groups", "conditions": [ "where multiple authorities regulate the same sector or issue", "to ensure ongoing policy alignment" ] }, "applicability": "Authorities regulating the same sector or issue", "severity": "high", "category": "Policy Coordination", "source_ref": { "page": 45, "clause": "62.4(c)", "text_snippet": "Where multiple authorities regulate the same sector or issue, they shall establish permanent working groups to ensure ongoing policy alignment" } }, { "rule_id": "STD-2024-062.5a-i", "title": "Central Data Platform Participation", "rule_type": "obligation", "summary": "Authorities must participate in a central data and intelligence sharing platform.", "core_obligation": { "actor": "Authorities", "action": "participate in central data and intelligence sharing platform", "modality": "shall", "object": "central data and intelligence sharing platform", "conditions": [] }, "applicability": "All authorities", "severity": "high", "category": "Data Sharing", "source_ref": { "page": 45, "clause": "62.5(a)(i)", "text_snippet": "Participate in a central data and intelligence sharing platform" } }, { "rule_id": "STD-2024-062.5a-ii", "title": "Ongoing Data Contribution to Platform", "rule_type": "obligation", "summary": "Authorities must contribute relevant data and intelligence to the platform on an ongoing basis.", "core_obligation": { "actor": "Authorities", "action": "contribute relevant data and intelligence", "modality": "shall", "object": "relevant data and intelligence", "conditions": [ "on an ongoing basis" ] }, "applicability": "All authorities participating in data sharing platform", "severity": "high", "category": "Data Sharing", "source_ref": { "page": 45, "clause": "62.5(a)(ii)", "text_snippet": "Contribute relevant data and intelligence to the platform on an ongoing basis" } }, { "rule_id": "STD-2024-062.5a-iii", "title": "Internal Information Sharing Procedures", "rule_type": "obligation", "summary": "Authorities must establish internal procedures for determining what information can be shared.", "core_obligation": { "actor": "Authorities", "action": "establish internal procedures", "modality": "shall", "object": "internal procedures for determining shareable information", "conditions": [] }, "applicability": "All authorities participating in data sharing", "severity": "high", "category": "Data Governance", "source_ref": { "page": 45, "clause": "62.5(a)(iii)", "text_snippet": "Establish internal procedures for determining what information can be shared" } }, { "rule_id": "STD-2024-062.5b", "title": "Central Platform Features Requirements", "rule_type": "obligation", "summary": "The central platform must include a secure messaging system, analytical tools for identifying patterns, and an alert system for urgent regulatory issues.", "core_obligation": { "actor": "Platform Administrator", "action": "include required features in central platform", "modality": "shall", "object": "secure messaging system, analytical tools, and alert system", "conditions": [] }, "applicability": "Central data and intelligence sharing platform", "severity": "high", "category": "Data Sharing", "source_ref": { "page": 45, "clause": "62.5(b)", "text_snippet": "The central platform shall include: (i) A secure messaging system for real-time information exchange; (ii) Analytical tools for identifying patterns and trends across datasets; and (iii) An alert system for flagging urgent regulatory or enforcement issues" } }, { "rule_id": "STD-2024-062.5c", "title": "Annual Joint Analysis Projects", "rule_type": "obligation", "summary": "Authorities must conduct joint analysis projects on cross-cutting regulatory issues at least annually.", "core_obligation": { "actor": "Authorities", "action": "conduct joint analysis projects", "modality": "shall", "object": "joint analysis projects on cross-cutting regulatory issues", "conditions": [ "at least annually" ] }, "applicability": "All authorities participating in data sharing", "severity": "medium", "category": "Data Analysis", "source_ref": { "page": 45, "clause": "62.5(c)", "text_snippet": "Authorities shall conduct joint analysis projects on cross-cutting regulatory issues at least annually" } }, { "rule_id": "STD-2024-062.5d", "title": "Data Governance Policy Implementation", "rule_type": "obligation", "summary": "Authorities must implement data governance policies to ensure the integrity and confidentiality of shared data.", "core_obligation": { "actor": "Authorities", "action": "implement data governance policies", "modality": "shall", "object": "data governance policies", "conditions": [ "to ensure integrity and confidentiality of shared data" ] }, "applicability": "All authorities participating in data sharing", "severity": "critical", "category": "Data Governance", "source_ref": { "page": 45, "clause": "62.5(d)", "text_snippet": "Implement data governance policies to ensure the integrity and confidentiality of shared data" } }, { "rule_id": "STD-2024-062.6a-i", "title": "Training Program Access for Other Authorities", "rule_type": "obligation", "summary": "Authorities must open relevant internal training programs to staff from other authorities.", "core_obligation": { "actor": "Authorities", "action": "open internal training programs", "modality": "shall", "object": "relevant internal training programs", "conditions": [ "to staff from other authorities" ] }, "applicability": "All authorities with internal training programs", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 45, "clause": "62.6(a)(i)", "text_snippet": "Open relevant internal training programs to staff from other authorities" } }, { "rule_id": "STD-2024-062.6a-ii", "title": "Inter-Authority Staff Exchange Program Participation", "rule_type": "obligation", "summary": "Authorities must participate in an inter-authority staff exchange program.", "core_obligation": { "actor": "Authorities", "action": "participate in staff exchange program", "modality": "shall", "object": "inter-authority staff exchange program", "conditions": [] }, "applicability": "All authorities", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 45, "clause": "62.6(a)(ii)", "text_snippet": "Participate in an inter-authority staff exchange program" } }, { "rule_id": "STD-2024-062.6a-iii", "title": "Shared E-Learning Platform Contribution", "rule_type": "obligation", "summary": "Authorities must contribute to a shared e-learning platform on common regulatory skills.", "core_obligation": { "actor": "Authorities", "action": "contribute to shared e-learning platform", "modality": "shall", "object": "shared e-learning platform on common regulatory skills", "conditions": [] }, "applicability": "All authorities", "severity": "low", "category": "Capacity Building", "source_ref": { "page": 45, "clause": "62.6(a)(iii)", "text_snippet": "Contribute to a shared e-learning platform on common regulatory skills" } }, { "rule_id": "STD-2024-062.6b-i", "title": "Annual Inter-Authority Training Needs Assessment", "rule_type": "obligation", "summary": "The RCC must coordinate an annual inter-authority training needs assessment.", "core_obligation": { "actor": "RCC", "action": "coordinate training needs assessment", "modality": "shall", "object": "inter-authority training needs assessment", "conditions": [ "annually" ] }, "applicability": "RCC (Regulatory Coordination Committee)", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 45, "clause": "62.6(b)(i)", "text_snippet": "Coordinate an annual inter-authority training needs assessment" } }, { "rule_id": "STD-2024-062.6b-ii", "title": "Cross-Cutting Training Program Development", "rule_type": "obligation", "summary": "The RCC must develop and deliver cross-cutting training programs.", "core_obligation": { "actor": "RCC", "action": "develop and deliver training programs", "modality": "shall", "object": "cross-cutting training programs", "conditions": [] }, "applicability": "RCC (Regulatory Coordination Committee)", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 45, "clause": "62.6(b)(ii)", "text_snippet": "Develop and deliver cross-cutting training programs" } }, { "rule_id": "STD-2024-062.6b-iii", "title": "Mentoring Relationship Facilitation", "rule_type": "obligation", "summary": "The RCC must facilitate mentoring relationships between authorities with complementary strengths.", "core_obligation": { "actor": "RCC", "action": "facilitate mentoring relationships", "modality": "shall", "object": "mentoring relationships", "conditions": [ "between authorities with complementary strengths" ] }, "applicability": "RCC (Regulatory Coordination Committee)", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 45, "clause": "62.6(b)(iii)", "text_snippet": "Facilitate mentoring relationships between authorities with complementary strengths" } }, { "rule_id": "STD-2024-062.6c", "title": "Annual Capacity-Building Activity Reports", "rule_type": "obligation", "summary": "Authorities must publish annual reports on capacity-building activities and their outcomes.", "core_obligation": { "actor": "Authorities", "action": "publish annual reports", "modality": "shall", "object": "reports on capacity-building activities and outcomes", "conditions": [ "annually" ] }, "applicability": "All authorities engaged in capacity-building activities", "severity": "low", "category": "Reporting", "source_ref": { "page": 45, "clause": "62.6(c)", "text_snippet": "Authorities shall publish annual reports on capacity-building activities and their outcomes" } }, { "rule_id": "STD-2024-063", "title": "RCC Working Groups Establishment", "rule_type": "obligation", "summary": "The RCC must establish working groups to develop common risk assessment methodologies, standardized enforcement guidelines, and unified data reporting formats.", "core_obligation": { "actor": "RCC", "action": "establish working groups", "modality": "shall", "object": "working groups for harmonization", "conditions": [ "to develop common risk assessment methodologies", "standardised enforcement guidelines", "unified data reporting formats" ] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "high", "category": "Harmonisation", "source_ref": { "page": 43, "clause": "Section 61.3(a)", "text_snippet": "The RCC shall establish working groups to develop: (i) Common risk assessment methodologies; (ii) Standardised enforcement guidelines; and (iii) Unified data reporting formats" } }, { "rule_id": "STD-2024-063", "title": "No Automatic Stay of Payment Obligation", "rule_type": "obligation", "summary": "Filing an appeal does not automatically suspend the obligation to pay the civil penalty.", "core_obligation": { "actor": "Appellant", "action": "continue payment obligation despite appeal", "modality": "shall not (automatic stay)", "object": "civil penalty payment", "conditions": [ "filing of appeal does not create automatic stay" ] }, "applicability": "All persons filing appeals against civil penalties.", "severity": "high", "category": "Appeals and Enforcement", "source_ref": { "page": 86, "clause": "Section 6.3(a)", "text_snippet": "The filing of an appeal shall not automatically stay the obligation to pay the penalty" } }, { "rule_id": "STD-2024-063.1a", "title": "International Engagement Strategy Development", "rule_type": "obligation", "summary": "The Competent Authority must develop and maintain an international engagement strategy identifying priority countries, setting objectives, and outlining resource allocation.", "core_obligation": { "actor": "Competent Authority", "action": "develop and maintain international engagement strategy", "modality": "shall", "object": "international engagement strategy", "conditions": [ "must identify priority countries and international organisations", "must set objectives for international engagement activities", "must outline resource allocation for international cooperation initiatives" ] }, "applicability": "Competent Authority responsible for international cooperation", "severity": "high", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.1(a)", "text_snippet": "The Competent Authority shall develop and maintain an international engagement strategy that..." } }, { "rule_id": "STD-2024-063.1b", "title": "International Engagement Strategy Review and Publication", "rule_type": "obligation", "summary": "The international engagement strategy must be reviewed annually, approved by the governing body, and made publicly available on the Authority's website.", "core_obligation": { "actor": "Competent Authority", "action": "review, approve, and publish strategy", "modality": "shall", "object": "international engagement strategy", "conditions": [ "reviewed and updated annually", "approved by the governing body", "made publicly available on the Authority's website" ] }, "applicability": "Competent Authority with international engagement strategy", "severity": "high", "category": "Transparency and Governance", "source_ref": { "page": 46, "clause": "63.1(b)", "text_snippet": "The strategy shall be: (i) Reviewed and updated annually; (ii) Approved by the governing body..." } }, { "rule_id": "STD-2024-063.1c", "title": "Monitoring and Evaluation Framework for International Engagement", "rule_type": "obligation", "summary": "The Competent Authority must implement a monitoring and evaluation framework to assess the effectiveness of international engagement activities.", "core_obligation": { "actor": "Competent Authority", "action": "implement monitoring and evaluation framework", "modality": "shall (implied by 'implement')", "object": "monitoring and evaluation framework", "conditions": [ "to assess effectiveness of international engagement activities" ] }, "applicability": "Competent Authority conducting international engagement", "severity": "medium", "category": "Performance Management", "source_ref": { "page": 46, "clause": "63.1(c)", "text_snippet": "Implement a monitoring and evaluation framework to assess the effectiveness..." } }, { "rule_id": "STD-2024-063.2a", "title": "Active Participation in International Forums", "rule_type": "obligation", "summary": "The Competent Authority must actively participate in relevant international regulatory forums including global standard-setting bodies, regional networks, and international organisations.", "core_obligation": { "actor": "Competent Authority", "action": "actively participate in international regulatory forums", "modality": "shall", "object": "international regulatory forums", "conditions": [ "including global standard-setting bodies", "including regional regulatory networks", "including international organisations promoting regulatory cooperation" ] }, "applicability": "Competent Authority with international regulatory responsibilities", "severity": "high", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.2(a)", "text_snippet": "The Competent Authority shall actively participate in relevant international regulatory forums..." } }, { "rule_id": "STD-2024-063.2b", "title": "Requirements for International Forum Participation", "rule_type": "obligation", "summary": "Participation in international forums must include attending meetings, serving on committees, providing input on standards, and sharing national experiences.", "core_obligation": { "actor": "Competent Authority", "action": "participate through specified activities", "modality": "shall", "object": "international forum participation activities", "conditions": [ "attending meetings and contributing to discussions", "serving on working groups and committees", "providing input on draft international standards or guidelines", "sharing national experiences and best practices" ] }, "applicability": "Competent Authority participating in international forums", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.2(b)", "text_snippet": "Participation shall include: (i) Attending meetings and contributing to discussions..." } }, { "rule_id": "STD-2024-063.2c", "title": "Annual Reporting on International Forum Activities", "rule_type": "obligation", "summary": "The Authority must report annually on its international forum activities and their outcomes.", "core_obligation": { "actor": "Competent Authority", "action": "report annually on international forum activities", "modality": "shall", "object": "annual report on international forum activities and outcomes", "conditions": [ "annually" ] }, "applicability": "Competent Authority participating in international forums", "severity": "medium", "category": "Reporting and Transparency", "source_ref": { "page": 46, "clause": "63.2(c)", "text_snippet": "The Authority shall report annually on its international forum activities and their outcomes" } }, { "rule_id": "STD-2024-063.2d", "title": "Dedicated International Relations Team", "rule_type": "obligation", "summary": "The Authority must establish a dedicated team to manage international relations and coordination.", "core_obligation": { "actor": "Competent Authority", "action": "establish dedicated team", "modality": "shall (implied by 'establish')", "object": "dedicated team for international relations and coordination", "conditions": [] }, "applicability": "Competent Authority with international cooperation responsibilities", "severity": "medium", "category": "Organizational Structure", "source_ref": { "page": 46, "clause": "63.2(d)", "text_snippet": "Establish a dedicated team to manage international relations and coordination" } }, { "rule_id": "STD-2024-063.3a", "title": "Power to Enter Cooperation Agreements", "rule_type": "power", "summary": "The Competent Authority may enter into cooperation agreements with foreign counterparts covering information sharing, joint investigations, mutual recognition, and staff exchanges.", "core_obligation": { "actor": "Competent Authority", "action": "enter into cooperation agreements", "modality": "may", "object": "cooperation agreements with foreign counterparts", "conditions": [ "may cover information sharing", "may cover joint investigations or inspections", "may cover mutual recognition of regulatory decisions", "may cover staff exchanges and joint training initiatives" ] }, "applicability": "Competent Authority engaging with foreign regulatory counterparts", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.3(a)", "text_snippet": "The Competent Authority may enter into cooperation agreements with foreign counterparts..." } }, { "rule_id": "STD-2024-063.3b", "title": "Requirements for Cooperation Agreements", "rule_type": "obligation", "summary": "All cooperation agreements must be in writing, signed by authorized representatives, specify scope and purpose, include confidentiality safeguards, and be reviewed at least every five years.", "core_obligation": { "actor": "Competent Authority", "action": "ensure cooperation agreements meet specified requirements", "modality": "shall", "object": "cooperation agreements", "conditions": [ "be in writing and signed by authorised representatives", "specify the scope and purpose of cooperation", "include safeguards for confidential information", "be reviewed at least every five years" ] }, "applicability": "All cooperation agreements entered into by the Competent Authority", "severity": "high", "category": "Compliance and Governance", "source_ref": { "page": 46, "clause": "63.3(b)", "text_snippet": "All cooperation agreements shall: (i) Be in writing and signed by authorised representatives..." } }, { "rule_id": "STD-2024-063.3c", "title": "Public Register of Cooperation Agreements", "rule_type": "obligation", "summary": "The Authority must maintain a public register of all active cooperation agreements.", "core_obligation": { "actor": "Competent Authority", "action": "maintain public register", "modality": "shall", "object": "public register of all active cooperation agreements", "conditions": [] }, "applicability": "Competent Authority with cooperation agreements", "severity": "medium", "category": "Transparency", "source_ref": { "page": 46, "clause": "63.3(c)", "text_snippet": "The Authority shall maintain a public register of all active cooperation agreements" } }, { "rule_id": "STD-2024-063.3d", "title": "Template for Cooperation Agreements", "rule_type": "obligation", "summary": "The Authority must develop a template for cooperation agreements to ensure consistency and comprehensiveness.", "core_obligation": { "actor": "Competent Authority", "action": "develop template for cooperation agreements", "modality": "shall (implied by 'develop')", "object": "template for cooperation agreements", "conditions": [ "to ensure consistency and comprehensiveness" ] }, "applicability": "Competent Authority entering into cooperation agreements", "severity": "low", "category": "Standardization", "source_ref": { "page": 46, "clause": "63.3(d)", "text_snippet": "Develop a template for cooperation agreements to ensure consistency and comprehensiveness" } }, { "rule_id": "STD-2024-063.4a", "title": "Power to Share Information Cross-border", "rule_type": "power", "summary": "The Competent Authority may share information with foreign counterparts upon request or spontaneously where it would assist the foreign authority.", "core_obligation": { "actor": "Competent Authority", "action": "share information with foreign counterparts", "modality": "may", "object": "information", "conditions": [ "upon request, subject to assessment of legitimacy", "spontaneously, where it believes the information would assist the foreign authority" ] }, "applicability": "Competent Authority engaging in cross-border cooperation", "severity": "medium", "category": "Information Sharing", "source_ref": { "page": 46, "clause": "63.4(a)", "text_snippet": "The Competent Authority may share information with foreign counterparts..." } }, { "rule_id": "STD-2024-063.4b", "title": "Conditions for Cross-border Information Sharing", "rule_type": "obligation", "summary": "Information sharing must be subject to conditions ensuring necessity, confidentiality assurances, and compliance with national laws.", "core_obligation": { "actor": "Competent Authority", "action": "ensure information sharing meets specified conditions", "modality": "shall", "object": "cross-border information sharing", "conditions": [ "information is necessary for recipient authority's regulatory functions", "recipient authority provides appropriate confidentiality assurances", "sharing does not violate national laws or jeopardise ongoing investigations" ] }, "applicability": "All cross-border information sharing by the Competent Authority", "severity": "critical", "category": "Data Protection and Compliance", "source_ref": { "page": 46, "clause": "63.4(b)", "text_snippet": "Information sharing shall be subject to the following conditions..." } }, { "rule_id": "STD-2024-063.4c", "title": "Record-keeping for International Information Sharing", "rule_type": "obligation", "summary": "The Authority must maintain records of all information shared internationally, including nature, recipient, date, and legal basis.", "core_obligation": { "actor": "Competent Authority", "action": "maintain records of information shared internationally", "modality": "shall", "object": "records of international information sharing", "conditions": [ "including the nature of the information", "including the recipient authority", "including the date of sharing", "including the legal basis for sharing" ] }, "applicability": "All international information sharing activities", "severity": "high", "category": "Record-keeping and Accountability", "source_ref": { "page": 46, "clause": "63.4(c)", "text_snippet": "The Authority shall maintain records of all information shared internationally, including..." } }, { "rule_id": "STD-2024-063.4d", "title": "Secure Information Sharing System", "rule_type": "obligation", "summary": "The Authority must implement a secure information sharing system to facilitate cross-border exchanges.", "core_obligation": { "actor": "Competent Authority", "action": "implement secure information sharing system", "modality": "shall (implied by 'implement')", "object": "secure information sharing system", "conditions": [ "to facilitate cross-border exchanges" ] }, "applicability": "Competent Authority engaged in cross-border information sharing", "severity": "high", "category": "Information Security", "source_ref": { "page": 46, "clause": "63.4(d)", "text_snippet": "Implement a secure information sharing system to facilitate cross-border exchanges" } }, { "rule_id": "STD-2024-063.5a", "title": "Power to Conduct Joint Cross-border Investigations", "rule_type": "power", "summary": "The Competent Authority may conduct joint investigations with foreign counterparts where the matter has significant cross-border elements and joint action would enhance effectiveness.", "core_obligation": { "actor": "Competent Authority", "action": "conduct joint investigations with foreign counterparts", "modality": "may", "object": "joint cross-border investigations", "conditions": [ "matter under investigation has significant cross-border element", "joint action would enhance effectiveness of investigation" ] }, "applicability": "Competent Authority investigating cross-border matters", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.5(a)", "text_snippet": "The Competent Authority may conduct joint investigations with foreign counterparts where..." } }, { "rule_id": "STD-2024-063.5b", "title": "Requirements for Joint Investigation Agreements", "rule_type": "obligation", "summary": "Joint investigations must be governed by written agreements specifying scope, legal framework, roles, information sharing procedures, and communication protocols.", "core_obligation": { "actor": "Competent Authority", "action": "ensure joint investigations are governed by written agreements", "modality": "shall", "object": "written agreements for joint investigations", "conditions": [ "specifying scope and objectives", "specifying applicable legal framework", "specifying roles and responsibilities of each authority", "specifying procedures for information sharing and use of investigative powers", "specifying protocols for public communications" ] }, "applicability": "All joint cross-border investigations", "severity": "high", "category": "Compliance and Governance", "source_ref": { "page": 46, "clause": "63.5(b)", "text_snippet": "Joint investigations shall be governed by written agreements specifying..." } }, { "rule_id": "STD-2024-063.5c", "title": "Reporting on Joint Investigations", "rule_type": "obligation", "summary": "The Authority must report to the government on the outcomes of all joint investigations.", "core_obligation": { "actor": "Competent Authority", "action": "report to government on joint investigation outcomes", "modality": "shall", "object": "report on outcomes of joint investigations", "conditions": [ "to the government", "for all joint investigations" ] }, "applicability": "All joint cross-border investigations conducted by the Authority", "severity": "medium", "category": "Accountability and Reporting", "source_ref": { "page": 46, "clause": "63.5(c)", "text_snippet": "The Authority shall report to the government on the outcomes of all joint investigations" } }, { "rule_id": "STD-2024-063.5d", "title": "Joint Investigation Fund", "rule_type": "obligation", "summary": "The Authority must establish a joint investigation fund to support cross-border investigative activities.", "core_obligation": { "actor": "Competent Authority", "action": "establish joint investigation fund", "modality": "shall (implied by 'establish')", "object": "joint investigation fund", "conditions": [ "to support cross-border investigative activities" ] }, "applicability": "Competent Authority conducting cross-border investigations", "severity": "medium", "category": "Resource Management", "source_ref": { "page": 46, "clause": "63.5(d)", "text_snippet": "Establish a joint investigation fund to support cross-border investigative activities" } }, { "rule_id": "STD-2024-063.6a", "title": "Power to Enter Mutual Recognition Arrangements", "rule_type": "power", "summary": "The Competent Authority may enter into mutual recognition arrangements with foreign counterparts regarding licenses, qualifications, conformity assessments, and regulatory decisions.", "core_obligation": { "actor": "Competent Authority", "action": "enter into mutual recognition arrangements", "modality": "may", "object": "mutual recognition arrangements", "conditions": [ "regarding regulatory licenses or authorisations", "regarding professional qualifications", "regarding conformity assessment procedures", "regarding regulatory decisions or enforcement actions" ] }, "applicability": "Competent Authority engaging with foreign regulatory counterparts", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.6(a)", "text_snippet": "The Competent Authority may enter into mutual recognition arrangements with foreign counterparts regarding..." } }, { "rule_id": "STD-2024-063.6b", "title": "Pre-requisites for Mutual Recognition Arrangements", "rule_type": "obligation", "summary": "Before entering mutual recognition arrangements, the Authority must conduct detailed assessment of foreign regime, consult stakeholders, and obtain government approval.", "core_obligation": { "actor": "Competent Authority", "action": "complete pre-requisite steps before entering mutual recognition arrangements", "modality": "shall", "object": "mutual recognition arrangements", "conditions": [ "conduct detailed assessment of foreign regulatory regime", "consult with relevant domestic stakeholders", "obtain approval from the government" ] }, "applicability": "All mutual recognition arrangements", "severity": "high", "category": "Due Diligence and Governance", "source_ref": { "page": 46, "clause": "63.6(b)", "text_snippet": "Before entering into a mutual recognition arrangement, the Authority shall..." } }, { "rule_id": "STD-2024-063.6c", "title": "Mechanisms for Mutual Recognition Arrangements", "rule_type": "obligation", "summary": "All mutual recognition arrangements must include mechanisms for ongoing monitoring, addressing divergences, and termination if necessary.", "core_obligation": { "actor": "Competent Authority", "action": "include specified mechanisms in mutual recognition arrangements", "modality": "shall", "object": "mutual recognition arrangements", "conditions": [ "include mechanisms for ongoing monitoring of regulatory equivalence", "include mechanisms for addressing emerging divergences", "include mechanisms for terminating the arrangement if necessary" ] }, "applicability": "All mutual recognition arrangements", "severity": "high", "category": "Risk Management and Governance", "source_ref": { "page": 46, "clause": "63.6(c)", "text_snippet": "All mutual recognition arrangements shall include mechanisms for..." } }, { "rule_id": "STD-2024-063.6d", "title": "Publication of Mutual Recognition Arrangements", "rule_type": "obligation", "summary": "The Authority must publish mutual recognition arrangements and their assessments to ensure transparency.", "core_obligation": { "actor": "Competent Authority", "action": "publish mutual recognition arrangements and assessments", "modality": "shall (implied by 'publish')", "object": "mutual recognition arrangements and their assessments", "conditions": [ "to ensure transparency" ] }, "applicability": "All mutual recognition arrangements", "severity": "medium", "category": "Transparency", "source_ref": { "page": 46, "clause": "63.6(d)", "text_snippet": "Publish mutual recognition arrangements and their assessments to ensure transparency" } }, { "rule_id": "STD-2024-063.7a", "title": "Power to Provide Capacity Building and Technical Assistance", "rule_type": "power", "summary": "The Competent Authority may provide capacity building and technical assistance to foreign counterparts including hosting visits, training, staff secondments, and sharing tools.", "core_obligation": { "actor": "Competent Authority", "action": "provide capacity building and technical assistance", "modality": "may", "object": "capacity building and technical assistance to foreign counterparts", "conditions": [ "including hosting study visits", "including providing training programs", "including seconding staff to assist with specific projects", "including sharing regulatory tools and methodologies" ] }, "applicability": "Competent Authority engaging in international cooperation", "severity": "low", "category": "International Cooperation", "source_ref": { "page": 46, "clause": "63.7(a)", "text_snippet": "The Competent Authority may provide capacity building and technical assistance to foreign counterparts..." } }, { "rule_id": "STD-2024-063.7b", "title": "Annual Capacity Building Plan", "rule_type": "obligation", "summary": "The Authority must develop an annual capacity building plan identifying priority countries, key areas for knowledge transfer, and allocated resources.", "core_obligation": { "actor": "Competent Authority", "action": "develop annual capacity building plan", "modality": "shall", "object": "annual capacity building plan", "conditions": [ "identifying priority countries or regions for assistance", "identifying key areas for knowledge transfer", "identifying resources allocated for these activities" ] }, "applicability": "Competent Authority providing capacity building assistance", "severity": "medium", "category": "Planning and Resource Management", "source_ref": { "page": 46, "clause": "63.7(b)", "text_snippet": "The Authority shall develop an annual capacity building plan, identifying..." } }, { "rule_id": "STD-2024-063.7c", "title": "Evaluation and Reporting of Capacity Building Activities", "rule_type": "obligation", "summary": "All capacity building activities must be evaluated for effectiveness and reported in the Authority's annual report.", "core_obligation": { "actor": "Competent Authority", "action": "evaluate and report on capacity building activities", "modality": "shall", "object": "capacity building activities", "conditions": [ "evaluated for effectiveness", "reported in the Authority's annual report" ] }, "applicability": "All capacity building activities conducted by the Authority", "severity": "medium", "category": "Performance Management and Reporting", "source_ref": { "page": 46, "clause": "63.7(c)", "text_snippet": "All capacity building activities shall be evaluated for effectiveness and reported in the Authority's annual report" } }, { "rule_id": "STD-2024-063.7d", "title": "Partnerships for Capacity Building", "rule_type": "obligation", "summary": "The Authority must establish partnerships with international organisations to enhance capacity-building efforts.", "core_obligation": { "actor": "Competent Authority", "action": "establish partnerships with international organisations", "modality": "shall (implied by 'establish')", "object": "partnerships with international organisations", "conditions": [ "to enhance capacity-building efforts" ] }, "applicability": "Competent Authority engaged in capacity building activities", "severity": "low", "category": "Partnership and Collaboration", "source_ref": { "page": 46, "clause": "63.7(d)", "text_snippet": "Establish partnerships with international organisations to enhance capacity-building efforts" } }, { "rule_id": "STD-2024-064", "title": "Application for Stay of Payment", "rule_type": "power", "summary": "An appellant may apply to the Tribunal for a stay of payment pending the outcome of the appeal.", "core_obligation": { "actor": "Appellant", "action": "apply for stay of payment", "modality": "may", "object": "stay of payment pending appeal", "conditions": [ "application must be made to the Tribunal" ] }, "applicability": "Appellants seeking to suspend payment obligations during appeal proceedings.", "severity": "medium", "category": "Appeals and Procedural Rights", "source_ref": { "page": 86, "clause": "Section 6.3(b)", "text_snippet": "The appellant may apply to the Tribunal for a stay of payment pending the appeal outcome." } }, { "rule_id": "STD-2024-065", "title": "Tribunal Remedial Powers", "rule_type": "power", "summary": "The Tribunal has discretionary powers to affirm, vary, or set aside penalties, remit matters for reconsideration, or substitute its own decision.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "exercise remedial powers", "modality": "may", "object": "civil penalty determination", "conditions": [ "affirm, vary, or set aside the penalty", "remit the matter to the Competent Authority for reconsideration", "substitute its own decision for that of the Authority" ] }, "applicability": "The Tribunal when adjudicating appeals against civil penalties.", "severity": "high", "category": "Appeals and Tribunal Powers", "source_ref": { "page": 86, "clause": "Section 6.4(a)", "text_snippet": "The Tribunal may: (i) Affirm, vary, or set aside the penalty; (ii) Remit the matter to the Competent Authority for reconsideration; (iii) Substitute its own decision for that of the Authority." } }, { "rule_id": "STD-2024-065.1(a)(i)", "title": "Prohibition on Providing False Information", "rule_type": "prohibition", "summary": "It is a criminal offence to knowingly provide false or misleading information to the Competent Authority.", "core_obligation": { "actor": "Any person or entity", "action": "provide false or misleading information", "modality": "shall not (criminal prohibition)", "object": "information to the Competent Authority", "conditions": [ "knowingly" ] }, "applicability": "All persons and entities subject to the Act", "severity": "critical", "category": "Criminal Offence", "source_ref": { "page": 51, "clause": "Section 65.1(a)(i)", "text_snippet": "Knowingly providing false or misleading information to the Competent Authority" } }, { "rule_id": "STD-2024-065.1(a)(ii)", "title": "Prohibition on Obstructing Authorised Officers", "rule_type": "prohibition", "summary": "It is a criminal offence to willfully obstruct an authorised officer in the exercise of their duties.", "core_obligation": { "actor": "Any person or entity", "action": "obstruct an authorised officer", "modality": "shall not (criminal prohibition)", "object": "authorised officer in exercise of duties", "conditions": [ "willfully" ] }, "applicability": "All persons and entities subject to the Act", "severity": "critical", "category": "Criminal Offence", "source_ref": { "page": 51, "clause": "Section 65.1(a)(ii)", "text_snippet": "Willfully obstructing an authorised officer in the exercise of their duties" } }, { "rule_id": "STD-2024-065.1(a)(iii)", "title": "Prohibition on Unlicensed Operation", "rule_type": "prohibition", "summary": "Operating without a required license or authorisation constitutes a criminal offence.", "core_obligation": { "actor": "Any person or entity", "action": "operate without required license or authorisation", "modality": "shall not (criminal prohibition)", "object": "operations requiring license or authorisation", "conditions": [] }, "applicability": "All persons and entities conducting activities requiring licenses or authorisations under the Act", "severity": "critical", "category": "Criminal Offence", "source_ref": { "page": 51, "clause": "Section 65.1(a)(iii)", "text_snippet": "Operating without a required license or authorisation" } }, { "rule_id": "STD-2024-065.1(a)(iv)", "title": "Prohibition on Deliberate Safety/Environmental Violations Causing Serious Harm", "rule_type": "prohibition", "summary": "Deliberate violation of safety or environmental standards causing serious harm is a criminal offence.", "core_obligation": { "actor": "Any person or entity", "action": "violate safety or environmental standards", "modality": "shall not (criminal prohibition)", "object": "safety or environmental standards", "conditions": [ "deliberate", "causing serious harm" ] }, "applicability": "All persons and entities subject to safety or environmental standards under the Act", "severity": "critical", "category": "Criminal Offence", "source_ref": { "page": 51, "clause": "Section 65.1(a)(iv)", "text_snippet": "Deliberate violation of safety or environmental standards causing serious harm" } }, { "rule_id": "STD-2024-065.1(a)(v)", "title": "Prohibition on Repeated and Willful Violations", "rule_type": "prohibition", "summary": "Repeated and willful violations of the Act or regulations constitute a criminal offence.", "core_obligation": { "actor": "Any person or entity", "action": "commit repeated and willful violations", "modality": "shall not (criminal prohibition)", "object": "provisions of the Act or regulations", "conditions": [ "repeated", "willful" ] }, "applicability": "All persons and entities subject to the Act", "severity": "critical", "category": "Criminal Offence", "source_ref": { "page": 51, "clause": "Section 65.1(a)(v)", "text_snippet": "Repeated and willful violations of the Act or regulations" } }, { "rule_id": "STD-2024-065.1(b)(i)", "title": "Criminal Penalties for Individuals", "rule_type": "sanction", "summary": "Individuals convicted of criminal offences face imprisonment up to [X] years and/or fines up to [Y] amount.", "core_obligation": { "actor": "Court", "action": "impose penalties", "modality": "shall", "object": "individuals convicted of criminal offences", "conditions": [ "imprisonment for up to [X] years", "and/or fines up to [Y] amount" ] }, "applicability": "Individuals convicted of criminal offences under Section 65.1(a)", "severity": "critical", "category": "Criminal Sanction", "source_ref": { "page": 51, "clause": "Section 65.1(b)(i)", "text_snippet": "For individuals: Imprisonment for up to [X] years and/or fines up to [Y] amount" } }, { "rule_id": "STD-2024-065.1(b)(ii)", "title": "Criminal Penalties for Corporations", "rule_type": "sanction", "summary": "Corporations convicted of criminal offences face fines up to [Z]% of annual global turnover.", "core_obligation": { "actor": "Court", "action": "impose fines", "modality": "shall", "object": "corporations convicted of criminal offences", "conditions": [ "up to [Z]% of annual global turnover" ] }, "applicability": "Corporations convicted of criminal offences under Section 65.1(a)", "severity": "critical", "category": "Criminal Sanction", "source_ref": { "page": 51, "clause": "Section 65.1(b)(ii)", "text_snippet": "For corporations: Fines up to [Z]% of annual global turnover" } }, { "rule_id": "STD-2024-065.1(c)(i)", "title": "Court Power to Order Asset Forfeiture", "rule_type": "power", "summary": "The court may order forfeiture of assets derived from criminal offences.", "core_obligation": { "actor": "Court", "action": "order forfeiture of assets", "modality": "may", "object": "assets derived from the offence", "conditions": [] }, "applicability": "Cases involving criminal offences under Section 65.1(a)", "severity": "high", "category": "Criminal Sanction", "source_ref": { "page": 51, "clause": "Section 65.1(c)(i)", "text_snippet": "Forfeiture of assets derived from the offence" } }, { "rule_id": "STD-2024-065.1(c)(ii)", "title": "Court Power to Disqualify Directors", "rule_type": "power", "summary": "The court may order disqualification of directors from holding corporate offices.", "core_obligation": { "actor": "Court", "action": "order disqualification of directors", "modality": "may", "object": "directors from holding corporate offices", "conditions": [] }, "applicability": "Cases involving criminal offences under Section 65.1(a) where directors are implicated", "severity": "high", "category": "Criminal Sanction", "source_ref": { "page": 51, "clause": "Section 65.1(c)(ii)", "text_snippet": "Disqualification of directors from holding corporate offices" } }, { "rule_id": "STD-2024-065.1(c)(iii)", "title": "Court Power to Order Publication of Conviction", "rule_type": "power", "summary": "The court may order publication of the conviction at the offender's expense.", "core_obligation": { "actor": "Court", "action": "order publication of conviction", "modality": "may", "object": "conviction details", "conditions": [ "at the offender's expense" ] }, "applicability": "Cases involving criminal offences under Section 65.1(a)", "severity": "medium", "category": "Criminal Sanction", "source_ref": { "page": 51, "clause": "Section 65.1(c)(iii)", "text_snippet": "Publication of the conviction at the offender's expense" } }, { "rule_id": "STD-2024-065.2(a)", "title": "Authority Power to Impose Civil Penalties", "rule_type": "power", "summary": "The Competent Authority may impose civil penalties for violations that do not constitute criminal offences.", "core_obligation": { "actor": "Competent Authority", "action": "impose civil penalties", "modality": "may", "object": "violations not constituting criminal offences", "conditions": [ "breach of license conditions", "failure to comply with reporting requirements", "minor safety or environmental violations" ] }, "applicability": "Non-criminal violations under the Act", "severity": "high", "category": "Civil Enforcement", "source_ref": { "page": 51, "clause": "Section 65.2(a)", "text_snippet": "The Competent Authority may impose civil penalties for violations that do not constitute criminal offences" } }, { "rule_id": "STD-2024-065.2(b)(i)", "title": "Proportionality Requirement for Civil Penalties", "rule_type": "obligation", "summary": "Civil penalties must be proportionate to the nature and impact of the violation.", "core_obligation": { "actor": "Competent Authority", "action": "ensure penalties are proportionate", "modality": "shall", "object": "civil penalties", "conditions": [ "to the nature and impact of the violation" ] }, "applicability": "All civil penalty determinations", "severity": "high", "category": "Civil Enforcement", "source_ref": { "page": 51, "clause": "Section 65.2(b)(i)", "text_snippet": "Proportionate to the nature and impact of the violation" } }, { "rule_id": "STD-2024-065.2(b)(ii)", "title": "Maximum Civil Penalty Amount", "rule_type": "definition", "summary": "Civil penalties may be up to [X]% of the entity's annual turnover for the relevant product or service.", "core_obligation": { "actor": "Competent Authority", "action": "impose penalties within limit", "modality": "shall (implied constraint)", "object": "civil penalties", "conditions": [ "up to [X]% of annual turnover for relevant product or service" ] }, "applicability": "All civil penalty determinations", "severity": "high", "category": "Civil Enforcement", "source_ref": { "page": 51, "clause": "Section 65.2(b)(ii)", "text_snippet": "Up to [X]% of the entity's annual turnover for the relevant product or service" } }, { "rule_id": "STD-2024-065.2(b)(iii)", "title": "Civil Penalty Payment Deadline", "rule_type": "obligation", "summary": "Civil penalties must be paid within [X] days of final determination, unless appealed.", "core_obligation": { "actor": "Penalized entity", "action": "pay civil penalty", "modality": "shall", "object": "civil penalty amount", "conditions": [ "within [X] days of final determination", "unless appealed" ] }, "applicability": "Entities subject to civil penalties", "severity": "high", "category": "Civil Enforcement", "source_ref": [ { "page": 51, "clause": "Section 65.2(b)(iii)", "text_snippet": "Payable within [X] days of the final determination, unless appealed", "_origin_rule_id": "STD-2024-065.2(b)(iii)" }, { "page": 86, "clause": "Section 5.1(a)", "text_snippet": "Penalties shall be payable within [X] days of the final determination", "_origin_rule_id": "STD-2024-086-001" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-065.2(c)", "title": "Factors for Determining Civil Penalty Amount", "rule_type": "obligation", "summary": "The Authority must consider specific factors when determining civil penalty amounts, including gravity, culpability, history, financial gain, ability to pay, and turnover.", "core_obligation": { "actor": "Competent Authority", "action": "consider specified factors", "modality": "shall (implied)", "object": "penalty amount determination", "conditions": [ "gravity and duration of violation", "degree of culpability", "history of prior violations", "financial gain from violation", "ability to pay", "annual turnover of responsible entity or group" ] }, "applicability": "All civil penalty determinations", "severity": "high", "category": "Civil Enforcement", "source_ref": { "page": 51, "clause": "Section 65.2(c)", "text_snippet": "Factors to be considered in determining the penalty amount include..." } }, { "rule_id": "STD-2024-065.3(a)", "title": "Authority Power to Impose Administrative Sanctions", "rule_type": "power", "summary": "The Competent Authority may impose administrative sanctions in addition to or instead of civil penalties, including warnings, corrective orders, suspension, revocation, and disqualification.", "core_obligation": { "actor": "Competent Authority", "action": "impose administrative sanctions", "modality": "may", "object": "violating entities", "conditions": [ "in addition to or instead of civil penalties" ] }, "applicability": "Violations under the Act", "severity": "high", "category": "Administrative Enforcement", "source_ref": [ { "page": 51, "clause": "Section 65.3(a)", "text_snippet": "the Competent Authority may impose administrative sanctions, including...", "_origin_rule_id": "STD-2024-065.3(a)" }, { "page": 51, "clause": "Section 65.3(a)", "text_snippet": "In addition to or instead of civil penalties, the Competent Authority may impose administrative sanctions, including: (i) Formal warnings; (ii) Mandatory corrective action orders; (iii) Temporary suspension of licenses or authorisations; (iv) Revocation of licenses or authorisations; and (v) Disqualification from public procurement processes.", "_origin_rule_id": "STD-2024-065.3a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-065.3(a)(i)", "title": "Power to Issue Formal Warnings", "rule_type": "power", "summary": "The Competent Authority may issue formal warnings as an administrative sanction.", "core_obligation": { "actor": "Competent Authority", "action": "issue formal warnings", "modality": "may", "object": "violating entities", "conditions": [] }, "applicability": "Violations under the Act", "severity": "low", "category": "Administrative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.3(a)(i)", "text_snippet": "Formal warnings" } }, { "rule_id": "STD-2024-065.3(a)(ii)", "title": "Power to Order Mandatory Corrective Action", "rule_type": "power", "summary": "The Competent Authority may issue mandatory corrective action orders as an administrative sanction.", "core_obligation": { "actor": "Competent Authority", "action": "issue mandatory corrective action orders", "modality": "may", "object": "violating entities", "conditions": [] }, "applicability": "Violations under the Act", "severity": "medium", "category": "Administrative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.3(a)(ii)", "text_snippet": "Mandatory corrective action orders" } }, { "rule_id": "STD-2024-065.3(a)(iii)", "title": "Power to Temporarily Suspend Licenses", "rule_type": "power", "summary": "The Competent Authority may temporarily suspend licenses or authorisations as an administrative sanction.", "core_obligation": { "actor": "Competent Authority", "action": "temporarily suspend licenses or authorisations", "modality": "may", "object": "licenses or authorisations", "conditions": [] }, "applicability": "Licensed or authorised entities in violation", "severity": "high", "category": "Administrative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.3(a)(iii)", "text_snippet": "Temporary suspension of licenses or authorisations" } }, { "rule_id": "STD-2024-065.3(a)(iv)", "title": "Power to Revoke Licenses", "rule_type": "power", "summary": "The Competent Authority may revoke licenses or authorisations as an administrative sanction.", "core_obligation": { "actor": "Competent Authority", "action": "revoke licenses or authorisations", "modality": "may", "object": "licenses or authorisations", "conditions": [] }, "applicability": "Licensed or authorised entities in violation", "severity": "critical", "category": "Administrative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.3(a)(iv)", "text_snippet": "Revocation of licenses or authorisations" } }, { "rule_id": "STD-2024-065.3(a)(v)", "title": "Power to Disqualify from Public Procurement", "rule_type": "power", "summary": "The Competent Authority may disqualify entities from public procurement processes as an administrative sanction.", "core_obligation": { "actor": "Competent Authority", "action": "disqualify from public procurement processes", "modality": "may", "object": "violating entities", "conditions": [] }, "applicability": "Entities in violation that participate in public procurement", "severity": "high", "category": "Administrative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.3(a)(v)", "text_snippet": "Disqualification from public procurement processes" } }, { "rule_id": "STD-2024-065.3(b)(i)", "title": "Obligation to Provide Written Notice Before Sanctions", "rule_type": "obligation", "summary": "Before imposing administrative sanctions, the Authority must provide written notice of the intended sanction.", "core_obligation": { "actor": "Competent Authority", "action": "provide written notice", "modality": "shall", "object": "intended administrative sanction", "conditions": [ "before imposing administrative sanctions" ] }, "applicability": "All administrative sanction proceedings", "severity": "high", "category": "Procedural Requirement", "source_ref": { "page": 51, "clause": "Section 65.3(b)(i)", "text_snippet": "Provide written notice of the intended sanction" } }, { "rule_id": "STD-2024-065.3(b)(ii)", "title": "Obligation to Allow Response Period", "rule_type": "obligation", "summary": "Before imposing administrative sanctions, the Authority must allow the entity [X] days to respond or remedy the violation.", "core_obligation": { "actor": "Competent Authority", "action": "allow response period", "modality": "shall", "object": "entity subject to sanction", "conditions": [ "[X] days to respond or remedy the violation" ] }, "applicability": "All administrative sanction proceedings", "severity": "high", "category": "Procedural Requirement", "source_ref": { "page": 51, "clause": "Section 65.3(b)(ii)", "text_snippet": "Allow the entity [X]days to respond or remedy the violation" } }, { "rule_id": "STD-2024-065.3(b)(iii)", "title": "Obligation to Consider Representations", "rule_type": "obligation", "summary": "Before imposing administrative sanctions, the Authority must consider any representations made before making a final decision.", "core_obligation": { "actor": "Competent Authority", "action": "consider representations", "modality": "shall", "object": "representations made by entity", "conditions": [ "before making a final decision" ] }, "applicability": "All administrative sanction proceedings", "severity": "high", "category": "Procedural Requirement", "source_ref": { "page": 51, "clause": "Section 65.3(b)(iii)", "text_snippet": "Consider any representations made before making a final decision" } }, { "rule_id": "STD-2024-065.3b", "title": "Pre-Sanction Notice and Response Procedure", "rule_type": "obligation", "summary": "Before imposing administrative sanctions, the Authority must provide written notice, allow the entity a specified number of days to respond or remedy, and consider representations before final decision.", "core_obligation": { "actor": "Competent Authority", "action": "provide written notice, allow response time, consider representations", "modality": "shall", "object": "procedural safeguards before imposing sanctions", "conditions": [ "before imposing administrative sanctions", "allow entity [X] days to respond or remedy", "consider any representations made" ] }, "applicability": "All administrative sanction proceedings", "severity": "high", "category": "Due Process", "source_ref": { "page": 51, "clause": "Section 65.3(b)", "text_snippet": "Before imposing administrative sanctions, the Authority shall: (i) Provide written notice of the intended sanction; (ii) Allow the entity [X]days to respond or remedy the violation; (iii) Consider any representations made before making a final decision." } }, { "rule_id": "STD-2024-065.4(a)", "title": "Obligation to Publish Penalty Calculation Guidelines", "rule_type": "obligation", "summary": "The Competent Authority must publish guidelines on sanction and penalty calculations (except for criminal offences), including base amounts, factors, calculation methods, and procedures.", "core_obligation": { "actor": "Competent Authority", "action": "publish guidelines", "modality": "shall", "object": "sanction and penalty calculation guidelines", "conditions": [ "except for criminal offences", "including base amounts, aggravating/mitigating factors, economic benefit calculation methods, ability-to-pay procedures, turnover calculation methods" ] }, "applicability": "Civil penalties and administrative sanctions", "severity": "high", "category": "Transparency and Compliance", "source_ref": { "page": 51, "clause": "Section 65.4(a)", "text_snippet": "The Competent Authority shall publish guidelines on sanction and penalty calculations" } }, { "rule_id": "STD-2024-065.4(b)(i)", "title": "Obligation for Public Consultation on Guidelines", "rule_type": "obligation", "summary": "Penalty calculation guidelines must be subject to public consultation before adoption.", "core_obligation": { "actor": "Competent Authority", "action": "conduct public consultation", "modality": "shall", "object": "penalty calculation guidelines", "conditions": [ "before adoption" ] }, "applicability": "Development of penalty calculation guidelines", "severity": "medium", "category": "Transparency and Compliance", "source_ref": { "page": 51, "clause": "Section 65.4(b)(i)", "text_snippet": "Subject to public consultation before adoption" } }, { "rule_id": "STD-2024-065.4(b)(ii)", "title": "Obligation to Review Guidelines Periodically", "rule_type": "obligation", "summary": "Penalty calculation guidelines must be reviewed and updated at least every [X] years.", "core_obligation": { "actor": "Competent Authority", "action": "review and update guidelines", "modality": "shall", "object": "penalty calculation guidelines", "conditions": [ "at least every [X] years" ] }, "applicability": "Penalty calculation guidelines", "severity": "medium", "category": "Transparency and Compliance", "source_ref": { "page": 51, "clause": "Section 65.4(b)(ii)", "text_snippet": "Reviewed and updated at least every [X] years" } }, { "rule_id": "STD-2024-065.4(b)(iii)", "title": "Obligation to Apply Guidelines Consistently", "rule_type": "obligation", "summary": "Penalty calculation guidelines must be applied consistently across similar cases.", "core_obligation": { "actor": "Competent Authority", "action": "apply guidelines consistently", "modality": "shall", "object": "penalty calculation guidelines", "conditions": [ "across similar cases" ] }, "applicability": "All penalty determinations using guidelines", "severity": "high", "category": "Transparency and Compliance", "source_ref": { "page": 51, "clause": "Section 65.4(b)(iii)", "text_snippet": "Applied consistently across similar cases" } }, { "rule_id": "STD-2024-065.4a", "title": "Publication of Penalty Calculation Guidelines", "rule_type": "obligation", "summary": "The Competent Authority must publish comprehensive guidelines on sanction and penalty calculations covering base amounts, aggravating/mitigating factors, economic benefit calculations, ability-to-pay assessments, and turnover calculation methods.", "core_obligation": { "actor": "Competent Authority", "action": "publish guidelines on sanction and penalty calculations", "modality": "shall", "object": "penalty calculation guidelines", "conditions": [ "except for criminal offences", "must include base amounts, aggravating/mitigating factors, economic benefit methods, ability-to-pay procedures, turnover calculation methods" ] }, "applicability": "Competent Authority for non-criminal violations", "severity": "medium", "category": "Transparency", "source_ref": { "page": 51, "clause": "Section 65.4(a)", "text_snippet": "[Except for criminal offences,] The Competent Authority shall publish guidelines on sanction and penalty calculations, including: (i) Base amounts for different types of violations; (ii) Aggravating and mitigating factors; (iii) Methods for calculating economic benefit from violations; (iv) Procedures for ability-to-pay assessments; and (v) Methods for calculating the annual turn-over..." } }, { "rule_id": "STD-2024-065.4b", "title": "Guidelines Consultation, Review and Consistent Application", "rule_type": "obligation", "summary": "Penalty calculation guidelines must be subject to public consultation before adoption, reviewed and updated at least every specified number of years, and applied consistently across similar cases.", "core_obligation": { "actor": "Competent Authority", "action": "subject guidelines to consultation, review periodically, apply consistently", "modality": "shall", "object": "penalty calculation guidelines", "conditions": [ "public consultation before adoption", "reviewed and updated at least every [X] years", "applied consistently across similar cases" ] }, "applicability": "Competent Authority managing penalty guidelines", "severity": "medium", "category": "Procedural Compliance", "source_ref": { "page": 51, "clause": "Section 65.4(b)", "text_snippet": "These guidelines shall be: (i) Subject to public consultation before adoption; (ii) Reviewed and updated at least every [X] years; (iii) Applied consistently across similar cases." } }, { "rule_id": "STD-2024-065.5(a)", "title": "Power to Establish Settlement Procedures", "rule_type": "power", "summary": "The Competent Authority may establish procedures for settlement of cases (except criminal penalties), allowing entities to admit violations, accept reduced penalties, agree to compliance measures, and avoid formal proceedings.", "core_obligation": { "actor": "Competent Authority", "action": "establish settlement procedures", "modality": "may", "object": "cases involving violations", "conditions": [ "except for criminal penalties", "allowing admission of violations", "reduced penalty acceptance", "agreement to compliance measures", "avoidance of formal enforcement proceedings" ] }, "applicability": "Civil penalties and administrative sanctions", "severity": "medium", "category": "Alternative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.5(a)", "text_snippet": "The Competent Authority may establish procedures for the settlement of cases" } }, { "rule_id": "STD-2024-065.5(b)(i)", "title": "Requirement for Written Settlement Agreements", "rule_type": "obligation", "summary": "Settlement agreements must be in writing and signed by both parties.", "core_obligation": { "actor": "Competent Authority and settling entity", "action": "execute written and signed agreement", "modality": "shall", "object": "settlement agreement", "conditions": [ "in writing", "signed by both parties" ] }, "applicability": "All settlement agreements", "severity": "high", "category": "Alternative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.5(b)(i)", "text_snippet": "Be in writing and signed by both parties" } }, { "rule_id": "STD-2024-065.5(b)(ii)", "title": "Requirement to Specify Violations in Settlement", "rule_type": "obligation", "summary": "Settlement agreements must specify the violations.", "core_obligation": { "actor": "Competent Authority", "action": "specify violations", "modality": "shall", "object": "settlement agreement", "conditions": [] }, "applicability": "All settlement agreements", "severity": "high", "category": "Alternative Enforcement", "source_ref": { "page": 51, "clause": "Section 65.5(b)(ii)", "text_snippet": "Specify the violations" } }, { "rule_id": "STD-2024-065.5a", "title": "Authority Power to Establish Settlement Procedures", "rule_type": "power", "summary": "The Competent Authority may establish procedures for settlement of cases, allowing entities to admit violations, accept reduced penalties, agree to compliance measures, and avoid formal enforcement proceedings.", "core_obligation": { "actor": "Competent Authority", "action": "establish settlement procedures", "modality": "may", "object": "case settlement procedures", "conditions": [ "except for criminal penalties", "allowing entities to admit violations and accept reduced penalty", "agree to compliance measures", "avoid formal enforcement proceedings" ] }, "applicability": "Competent Authority for non-criminal enforcement cases", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 51, "clause": "Section 65.5(a)", "text_snippet": "[Except for criminal penalties,] The Competent Authority may establish procedures for the settlement of cases, allowing entities to: (i) Admit to violations and accept a reduced penalty; (ii) Agree to specific compliance measures; (iii) Avoid formal enforcement proceedings." } }, { "rule_id": "STD-2024-065.5b", "title": "Settlement Agreement Requirements", "rule_type": "obligation", "summary": "Settlement agreements must be in writing and signed by both parties, specify violations and penalties, include a compliance plan with deadlines, and be made public subject to confidentiality redactions.", "core_obligation": { "actor": "Competent Authority", "action": "ensure settlement agreements meet specified requirements", "modality": "shall", "object": "settlement agreements", "conditions": [ "in writing and signed by both parties", "specify violations admitted and penalties accepted", "include compliance plan with clear deadlines", "made public subject to redaction of confidential information" ] }, "applicability": "All settlement agreements in enforcement cases", "severity": "medium", "category": "Procedural Compliance", "source_ref": [ { "page": 51, "clause": "Section 65.5(b)", "text_snippet": "Settlement agreements shall: (i) Be in writing and signed by both parties; (ii) Specify the violations admitted and penalties accepted; (iii) Include a compliance plan with clear deadlines; (iv) Be made public, subject to redaction of confidential information.", "_origin_rule_id": "STD-2024-065.5b" }, { "page": 85, "clause": "Section 4.4(b)", "text_snippet": "Settlement agreements shall: (i) Be in writing and signed by both parties; (ii) Specify the violations admitted and penalties accepted; (iii) Include a compliance plan with clear deadlines; (iv) Be made public, subject to redaction of confidential information.", "_origin_rule_id": "STD-2024-090" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-065.6a", "title": "Continuing Civil Penalties for Ongoing Violations", "rule_type": "power", "summary": "For ongoing violations, the Competent Authority may impose continuing civil penalties up to a specified amount per day for individuals and a different amount per day for corporations.", "core_obligation": { "actor": "Competent Authority", "action": "impose continuing civil penalties", "modality": "may", "object": "daily penalties for ongoing violations", "conditions": [ "for ongoing violations", "up to [X] amount per day for individuals", "up to [Y] amount per day for corporations" ] }, "applicability": "Ongoing violations by individuals or corporations", "severity": "high", "category": "Enforcement", "source_ref": { "page": 51, "clause": "Section 65.6(a)", "text_snippet": "For ongoing violations, the Competent Authority may impose continuing [civil] penalties of: (i) Up to [X] amount per day for individuals; (ii) Up to [Y] amount per day for corporations." } }, { "rule_id": "STD-2024-065.6b", "title": "Continuing Penalties Accrual Termination", "rule_type": "obligation", "summary": "Continuing penalties shall accrue until the violation is remedied, the maximum penalty limit is reached, or the Authority orders otherwise.", "core_obligation": { "actor": "Continuing penalties", "action": "accrue until specified conditions met", "modality": "shall", "object": "penalty accrual", "conditions": [ "until violation is remedied", "or maximum penalty limit is reached", "or Authority orders otherwise" ] }, "applicability": "All continuing penalty cases", "severity": "high", "category": "Enforcement", "source_ref": { "page": 51, "clause": "Section 65.6(b)", "text_snippet": "These penalties shall accrue until: (i) The violation is remedied; (ii) The maximum penalty limit is reached; (iii) The Authority orders otherwise." } }, { "rule_id": "STD-2024-065.7a", "title": "Personal Liability of Directors and Officers", "rule_type": "sanction", "summary": "Directors and senior officers of corporations may be held personally liable for offences if proven that the offence was committed with their consent or connivance, or was attributable to their neglect.", "core_obligation": { "actor": "Directors and senior officers", "action": "may be held personally liable", "modality": "may", "object": "personal liability for corporate offences", "conditions": [ "if proven offence committed with their consent or connivance", "or offence attributable to their neglect" ] }, "applicability": "Directors and senior officers of corporations committing offences", "severity": "critical", "category": "Personal Liability", "source_ref": { "page": 51, "clause": "Section 65.7(a)", "text_snippet": "Directors and senior officers of corporations may be held personally liable for offences if it is proven that: (i) The offence was committed with their consent or connivance; or (ii) The offence was attributable to their neglect." } }, { "rule_id": "STD-2024-065.7b", "title": "Penalties for Personal Liability of Directors", "rule_type": "sanction", "summary": "Penalties for personal liability of directors and officers may include fines up to a specified amount, disqualification from holding director/officer positions for up to a specified number of years, and in severe cases imprisonment for up to a specified number of years.", "core_obligation": { "actor": "Enforcement authority", "action": "impose penalties on personally liable directors/officers", "modality": "may", "object": "fines, disqualification, imprisonment", "conditions": [ "fines up to [X] amount", "disqualification from director/officer positions for up to [Y] years", "in severe cases imprisonment for up to [Z] years" ] }, "applicability": "Directors and officers found personally liable", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 51, "clause": "Section 65.7(b)", "text_snippet": "Penalties for personal liability may include: (i) Fines up to [X] amount; (ii) Disqualification from holding director or officer positions for up to [Y] years; (iii) In severe cases, imprisonment for up to [Z] years." } }, { "rule_id": "STD-2024-065.8a", "title": "Right to Appeal Penalties and Sanctions", "rule_type": "power", "summary": "Any person aggrieved by a penalty or sanction imposed may appeal to the Regulatory Appeals Tribunal within a specified number of days.", "core_obligation": { "actor": "Aggrieved person", "action": "appeal to Regulatory Appeals Tribunal", "modality": "may", "object": "penalty or sanction decision", "conditions": [ "within [X] days of penalty/sanction imposition" ] }, "applicability": "Any person subject to penalties or sanctions under this section", "severity": "high", "category": "Due Process", "source_ref": { "page": 51, "clause": "Section 65.8(a)", "text_snippet": "Any person aggrieved by a penalty or sanction imposed under this section may appeal to the Regulatory Appeals Tribunal within [X] days." } }, { "rule_id": "STD-2024-065.8b", "title": "Appeal Specification Requirements", "rule_type": "obligation", "summary": "Appeals must specify the grounds for challenging the penalty or sanction, any evidence supporting the appeal, and the relief sought.", "core_obligation": { "actor": "Appellant", "action": "specify required information in appeal", "modality": "shall", "object": "appeal documentation", "conditions": [ "grounds for challenging penalty/sanction", "evidence supporting the appeal", "relief sought" ] }, "applicability": "All appeals to Regulatory Appeals Tribunal", "severity": "medium", "category": "Procedural Compliance", "source_ref": { "page": 51, "clause": "Section 65.8(b)", "text_snippet": "The appeal shall specify: (i) The grounds for challenging the penalty or sanction; (ii) Any evidence supporting the appeal; (iii) The relief sought." } }, { "rule_id": "STD-2024-065.8c", "title": "Tribunal Powers on Appeal", "rule_type": "power", "summary": "The Regulatory Appeals Tribunal has the power to affirm, modify, or set aside penalties/sanctions, remit matters to the Competent Authority for reconsideration, or substitute its own decision for that of the Authority.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "exercise appellate powers", "modality": "shall", "object": "appeal decisions", "conditions": [ "power to affirm, modify, or set aside penalty/sanction", "power to remit matter to Competent Authority for reconsideration", "power to substitute own decision for Authority's decision" ] }, "applicability": "Regulatory Appeals Tribunal in all appeals", "severity": "high", "category": "Judicial Review", "source_ref": { "page": 51, "clause": "Section 65.8(c)", "text_snippet": "The Tribunal shall have the power to: (i) Affirm, modify, or set aside the penalty or sanction; (ii) Remit the matter to the Competent Authority for reconsideration; (iii) Substitute its own decision for that of the Authority." } }, { "rule_id": "STD-2024-066.1", "title": "Establishment of Rating System", "rule_type": "obligation", "summary": "The Competent Authority must develop and implement a rating system for regulated entities that provides clear, objective measures of compliance and performance.", "core_obligation": { "actor": "Competent Authority", "action": "develop and implement rating system", "modality": "shall", "object": "rating system for regulated entities", "conditions": [ "provides clear, objective measure of compliance and performance", "covers all key aspects of regulatory requirements", "tailored to different sectors or types of regulated entities as appropriate" ] }, "applicability": "Competent Authority responsible for regulating entities", "severity": "high", "category": "Regulatory Framework", "source_ref": { "page": 53, "clause": "66.1(a)", "text_snippet": "The Competent Authority shall develop and implement a rating system for regulated entities that..." } }, { "rule_id": "STD-2024-066.10", "title": "Standardized Display Format", "rule_type": "obligation", "summary": "The rating display format must be standardized and include the numerical score, letter grade, assessment date, and QR code linking to the public register.", "core_obligation": { "actor": "Regulated entities", "action": "use standardized display format", "modality": "shall", "object": "rating display format", "conditions": [ "the numerical score and letter grade", "the date of the last assessment", "a QR code linking to the entity's entry in the public register" ] }, "applicability": "All rating displays by regulated entities", "severity": "high", "category": "Disclosure", "source_ref": { "page": 53, "clause": "66.5(b)", "text_snippet": "The display format shall be standardised and include: (i) The numerical score and letter grade..." } }, { "rule_id": "STD-2024-066.11", "title": "Right to Appeal Rating", "rule_type": "power", "summary": "Regulated entities may appeal their rating within specified days by submitting a written appeal with supporting evidence to the Competent Authority.", "core_obligation": { "actor": "Regulated entities", "action": "appeal rating", "modality": "may", "object": "rating decision", "conditions": [ "within [X] days of notification", "by submitting a written appeal to the Competent Authority", "providing evidence to support their case for a different rating" ] }, "applicability": "All regulated entities receiving ratings", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 53, "clause": "66.6(a)", "text_snippet": "Regulated entities may appeal their rating within [X] days of notification by..." } }, { "rule_id": "STD-2024-066.12", "title": "Appeals Process Requirements", "rule_type": "obligation", "summary": "The Competent Authority must establish an independent appeals panel, allow oral representations, and make a final decision within specified timeframe.", "core_obligation": { "actor": "Competent Authority", "action": "establish and operate appeals process", "modality": "shall", "object": "appeals process", "conditions": [ "establish an independent appeals panel to review cases", "allow the appellant to make oral representations if desired", "make a final decision within [X] days of receiving the appeal" ] }, "applicability": "All rating appeals", "severity": "high", "category": "Procedural Fairness", "source_ref": { "page": 53, "clause": "66.6(b)", "text_snippet": "The Competent Authority shall: (i) Establish an independent appeals panel to review cases..." } }, { "rule_id": "STD-2024-066.13", "title": "Rating Status During Appeal", "rule_type": "obligation", "summary": "The rating under appeal must remain in force until the appeal is decided.", "core_obligation": { "actor": "Competent Authority", "action": "maintain current rating", "modality": "shall", "object": "rating under appeal", "conditions": [ "remain in force until the appeal is decided" ] }, "applicability": "All ratings subject to appeal", "severity": "medium", "category": "Procedural Fairness", "source_ref": { "page": 53, "clause": "66.6(c)", "text_snippet": "The rating under appeal shall remain in force until the appeal is decided." } }, { "rule_id": "STD-2024-066.14", "title": "Incentives for High-Rated Entities", "rule_type": "power", "summary": "The Competent Authority may provide incentives for high-rated entities including reduced inspection frequency, priority processing, and public recognition.", "core_obligation": { "actor": "Competent Authority", "action": "provide incentives", "modality": "may", "object": "incentives for high-rated entities", "conditions": [ "reduced frequency of routine inspections", "priority processing of license renewals or other applications", "public recognition through awards or certifications" ] }, "applicability": "High-rated regulated entities", "severity": "medium", "category": "Incentive Mechanism", "source_ref": { "page": 53, "clause": "66.7(a)", "text_snippet": "The Competent Authority may provide incentives for high-rated entities, such as..." } }, { "rule_id": "STD-2024-066.15", "title": "Consequences for Low-Rated Entities", "rule_type": "power", "summary": "For low-rated entities, the Authority may impose more frequent inspections, mandatory improvement plans, additional reporting requirements, and restrictions on high-risk activities.", "core_obligation": { "actor": "Competent Authority", "action": "impose consequences", "modality": "may", "object": "consequences for low-rated entities", "conditions": [ "more frequent inspections or audits", "mandatory improvement plans with specific timelines", "additional reporting requirements", "restrictions on certain high-risk activities" ] }, "applicability": "Low-rated regulated entities", "severity": "high", "category": "Enforcement Mechanism", "source_ref": { "page": 53, "clause": "66.7(b)", "text_snippet": "For low-rated entities, the Authority may impose: (i) More frequent inspections or audits..." } }, { "rule_id": "STD-2024-066.2", "title": "Rating System Components", "rule_type": "obligation", "summary": "The rating system must include a numerical score, corresponding letter grade, and specific ratings for key performance areas.", "core_obligation": { "actor": "Competent Authority", "action": "include specified components in rating system", "modality": "shall", "object": "rating system components", "conditions": [ "numerical score (e.g., 0-100)", "corresponding letter grade (e.g., A+, A, B, C, D, F)", "specific ratings for key performance areas (e.g., safety, financial stability, environmental compliance)" ] }, "applicability": "Rating system design and implementation", "severity": "high", "category": "Regulatory Framework", "source_ref": { "page": 53, "clause": "66.1(b)", "text_snippet": "The rating system shall include: (i) A numerical score (e.g., 0-100); (ii) A corresponding letter grade..." } }, { "rule_id": "STD-2024-066.3", "title": "Rating Criteria Requirements", "rule_type": "obligation", "summary": "Ratings must be based on objective criteria including compliance, inspection results, complaint history, risk management practices, and cooperation with the Authority.", "core_obligation": { "actor": "Competent Authority", "action": "base ratings on objective criteria", "modality": "shall", "object": "rating criteria", "conditions": [ "compliance with regulatory requirements", "results of inspections and audits", "complaint history and resolution", "proactive risk management practices", "transparency and cooperation with the Authority" ] }, "applicability": "All rating assessments of regulated entities", "severity": "high", "category": "Assessment Standards", "source_ref": { "page": 53, "clause": "66.2(a)", "text_snippet": "Ratings shall be based on objective criteria including: (i) Compliance with regulatory requirements..." } }, { "rule_id": "STD-2024-066.4", "title": "Criteria Weighting Disclosure and Review", "rule_type": "obligation", "summary": "The weighting of rating criteria must be clearly defined, publicly disclosed, reviewed annually, and subject to public consultation before significant changes.", "core_obligation": { "actor": "Competent Authority", "action": "define, disclose, and review criteria weighting", "modality": "shall", "object": "weighting of rating criteria", "conditions": [ "clearly defined and publicly disclosed", "reviewed annually for continued relevance", "subject to public consultation before any significant changes" ] }, "applicability": "Rating system methodology and transparency", "severity": "medium", "category": "Transparency", "source_ref": { "page": 53, "clause": "66.2(b)", "text_snippet": "The weighting of criteria shall be: (i) Clearly defined and publicly disclosed; (ii) Reviewed annually..." } }, { "rule_id": "STD-2024-066.5", "title": "Rating Frequency and Process", "rule_type": "obligation", "summary": "The Competent Authority must conduct ratings at specified intervals, use a panel of at least three staff members, and document justification for each rating decision.", "core_obligation": { "actor": "Competent Authority", "action": "conduct ratings according to specified process", "modality": "shall", "object": "rating process", "conditions": [ "conduct ratings at least [X-annually] for each regulated entity", "base ratings on data collected through regular supervisory activities", "allow regulated entities to submit additional relevant information", "use a panel of at least three staff members to determine final ratings", "document the justification for each rating decision" ] }, "applicability": "All rating assessments of regulated entities", "severity": "high", "category": "Assessment Process", "source_ref": { "page": 53, "clause": "66.3(a)", "text_snippet": "The Competent Authority shall: (i) Conduct ratings at least [X-annually] for each regulated entity..." } }, { "rule_id": "STD-2024-066.6", "title": "Pre-finalization Rating Notice", "rule_type": "obligation", "summary": "Before finalizing a rating, the Authority must provide the regulated entity with a draft rating, allow time for response, and consider any responses received.", "core_obligation": { "actor": "Competent Authority", "action": "provide draft rating and opportunity to respond", "modality": "shall", "object": "draft rating and response process", "conditions": [ "provide the regulated entity with a draft rating and supporting analysis", "allow [X] days for the entity to respond with any objections or additional information", "consider any responses received before making a final determination" ] }, "applicability": "All rating finalization processes", "severity": "high", "category": "Procedural Fairness", "source_ref": { "page": 53, "clause": "66.3(b)", "text_snippet": "Before finalising a rating, the Authority shall: (i) Provide the regulated entity with a draft rating..." } }, { "rule_id": "STD-2024-066.7", "title": "Public Register Maintenance", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of ratings on its website, update it within specified timeframes, and provide historical rating data.", "core_obligation": { "actor": "Competent Authority", "action": "maintain and update public register", "modality": "shall", "object": "public register of ratings", "conditions": [ "maintain a public register of ratings on its website", "update the register within [X] working days of any rating change", "provide historical rating data for at least the past X years" ] }, "applicability": "All ratings of regulated entities", "severity": "high", "category": "Transparency", "source_ref": { "page": 53, "clause": "66.4(a)", "text_snippet": "The Competent Authority shall: (i) Maintain a public register of ratings on its website..." } }, { "rule_id": "STD-2024-066.8", "title": "Public Register Content Requirements", "rule_type": "obligation", "summary": "The public register must include current rating, assessment date, summary of basis, areas of concern or commendation, and links to detailed reports.", "core_obligation": { "actor": "Competent Authority", "action": "include specified information in public register", "modality": "shall", "object": "public register content", "conditions": [ "the current rating and date of last assessment", "a brief summary of the basis for the rating", "any specific areas of concern or commendation", "links to more detailed reports where available" ] }, "applicability": "Public register of all regulated entities", "severity": "medium", "category": "Transparency", "source_ref": { "page": 53, "clause": "66.4(b)", "text_snippet": "The public register shall include: (i) The current rating and date of last assessment..." } }, { "rule_id": "STD-2024-066.9", "title": "Rating Display Requirements", "rule_type": "obligation", "summary": "Regulated entities must display their current rating prominently at physical premises, on website homepage, in promotional materials, and on product packaging where applicable.", "core_obligation": { "actor": "Regulated entities", "action": "display current rating", "modality": "shall", "object": "current rating", "conditions": [ "prominently at all physical premises accessible to the public", "on their website homepage", "in all promotional materials and advertisements", "on product packaging, manuals or other documents accompanying the product, where applicable" ] }, "applicability": "All regulated entities with ratings", "severity": "critical", "category": "Disclosure", "source_ref": { "page": 53, "clause": "66.5(a)", "text_snippet": "Regulated entities shall be required to display their current rating: (i) Prominently at all physical premises..." } }, { "rule_id": "STD-2024-067.1a", "title": "Standing to Bring Enforcement Actions", "rule_type": "power", "summary": "Five categories of parties have standing to bring legal actions to enforce provisions of the Act: directly affected individuals, registered consumer protection organizations, registered environmental organizations, trade associations, and local authorities.", "core_obligation": { "actor": "Specified parties (individuals, registered organizations, trade associations, local authorities)", "action": "bring legal actions to enforce provisions of the Act", "modality": "shall have standing", "object": "legal actions for enforcement", "conditions": [ "Individuals must be directly affected by violations", "Consumer and environmental organizations must be registered with the Competent Authority", "Trade associations must represent regulated entities", "Local authorities must have jurisdiction where violation occurred or had impact" ] }, "applicability": "All parties seeking to bring enforcement actions under the Act", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 54, "clause": "Section 67.1(a)", "text_snippet": "The following parties shall have standing to bring legal actions to enforce provisions of this Act..." } }, { "rule_id": "STD-2024-067.1b", "title": "Organization Registration Eligibility Requirements", "rule_type": "obligation", "summary": "Organizations seeking registration to bring enforcement actions must be legally constituted non-profits, have operated for a minimum period, demonstrate relevant expertise, and maintain internal governance procedures.", "core_obligation": { "actor": "Organizations seeking registration", "action": "meet eligibility criteria", "modality": "must", "object": "registration requirements", "conditions": [ "Be legally constituted non-profit entities", "Have been in operation for at least [X] years", "Demonstrate expertise in the relevant regulatory area", "Have internal governance procedures to ensure accountability" ] }, "applicability": "Consumer protection and environmental organizations seeking standing to bring enforcement actions", "severity": "medium", "category": "Compliance", "source_ref": { "page": 54, "clause": "Section 67.1(b)", "text_snippet": "To be eligible for registration, organisations must: (i) Be legally constituted non-profit entities..." } }, { "rule_id": "STD-2024-067.2a", "title": "Permitted Types of Legal Actions", "rule_type": "power", "summary": "Eligible parties may bring four types of legal actions: applications for injunctive relief, actions for declaratory judgments, public interest litigation, and actions to compel the Competent Authority to perform statutory duties.", "core_obligation": { "actor": "Eligible parties with standing", "action": "bring specified types of legal actions", "modality": "may bring", "object": "legal actions (injunctive relief, declaratory judgments, public interest litigation, compulsion actions)", "conditions": [ "Party must have standing under Section 67.1" ] }, "applicability": "All parties with standing under Section 67.1", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 54, "clause": "Section 67.2(a)", "text_snippet": "Eligible parties may bring the following types of legal actions: (i) Applications for injunctive relief..." } }, { "rule_id": "STD-2024-067.2b", "title": "Class Action Requirements", "rule_type": "power", "summary": "Class actions may be brought when there are multiple affected parties with similar claims, individual actions would be impractical, and the representative can fairly represent the class.", "core_obligation": { "actor": "Representative party", "action": "bring class action", "modality": "may be brought", "object": "class action", "conditions": [ "There are multiple affected parties with similar claims", "Individual actions would be impractical or inefficient", "The representative party can fairly represent the interests of the class" ] }, "applicability": "Cases involving multiple affected parties with similar claims", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 54, "clause": "Section 67.2(b)", "text_snippet": "Class actions may be brought where: (i) There are multiple affected parties with similar claims..." } }, { "rule_id": "STD-2024-067.3a", "title": "Pre-Action Notice and Waiting Period", "rule_type": "obligation", "summary": "Before initiating legal action, potential plaintiffs must serve notice of intent on the alleged violator and Competent Authority, allow a specified waiting period for remedy or enforcement, and participate in mandatory mediation if requested.", "core_obligation": { "actor": "Potential plaintiff", "action": "complete pre-action requirements", "modality": "must", "object": "notice of intent and waiting period", "conditions": [ "Serve notice on alleged violator and Competent Authority", "Allow [X] days for remedy or enforcement action", "Participate in mandatory mediation if requested by alleged violator" ] }, "applicability": "All parties before initiating legal action under this section", "severity": "high", "category": "Compliance", "source_ref": { "page": 54, "clause": "Section 67.3(a)", "text_snippet": "Before initiating legal action, the potential plaintiff must: (i) Serve a notice of intent to sue..." } }, { "rule_id": "STD-2024-067.3b", "title": "Notice of Intent Content Requirements", "rule_type": "obligation", "summary": "The notice of intent to sue must include the specific provisions alleged to be violated, supporting facts, and the relief sought.", "core_obligation": { "actor": "Potential plaintiff", "action": "include required information in notice", "modality": "must include", "object": "notice of intent content", "conditions": [ "Specify provisions of the Act alleged to have been violated", "Provide facts supporting the allegation", "State the relief sought" ] }, "applicability": "All parties serving notice of intent to sue", "severity": "medium", "category": "Compliance", "source_ref": { "page": 54, "clause": "Section 67.3(b)", "text_snippet": "The notice of intent must include: (i) The specific provisions of the Act alleged to have been violated..." } }, { "rule_id": "STD-2024-067.4a", "title": "Specialized Court Jurisdiction", "rule_type": "obligation", "summary": "Actions under this section shall be heard by specialized regulatory chambers of the appropriate court.", "core_obligation": { "actor": "Court system", "action": "hear actions in specialized chambers", "modality": "shall be heard", "object": "enforcement actions", "conditions": [ "Actions brought under Section 67" ] }, "applicability": "All legal actions brought under Section 67", "severity": "medium", "category": "Procedure", "source_ref": { "page": 54, "clause": "Section 67.4(a)", "text_snippet": "Actions under this section shall be heard by specialised regulatory chambers..." } }, { "rule_id": "STD-2024-067.4b", "title": "Court Powers in Enforcement Actions", "rule_type": "power", "summary": "The court may appoint independent experts, allow amicus curiae briefs, order document production, and conduct site visits or inspections.", "core_obligation": { "actor": "Court", "action": "exercise procedural powers", "modality": "may", "object": "procedural orders and appointments", "conditions": [ "In actions under Section 67" ] }, "applicability": "Courts hearing enforcement actions under Section 67", "severity": "medium", "category": "Procedure", "source_ref": { "page": 54, "clause": "Section 67.4(b)", "text_snippet": "The court may: (i) Appoint independent experts to assist in technical matters..." } }, { "rule_id": "STD-2024-067.4c", "title": "Burden of Proof Shifting", "rule_type": "obligation", "summary": "The burden of proof is initially on the plaintiff, but once a prima facie case is established, the burden shifts to the defendant to show compliance.", "core_obligation": { "actor": "Plaintiff and defendant", "action": "bear burden of proof", "modality": "shall be", "object": "burden of proof", "conditions": [ "Initial burden on plaintiff", "Burden shifts to defendant after prima facie case established", "Defendant must show compliance" ] }, "applicability": "All enforcement actions under Section 67", "severity": "high", "category": "Procedure", "source_ref": { "page": 54, "clause": "Section 67.4(c)", "text_snippet": "The burden of proof shall be on the plaintiff, but once a prima facie case is established, the burden shifts to the defendant..." } }, { "rule_id": "STD-2024-067.5a", "title": "Available Court Remedies", "rule_type": "power", "summary": "The court may grant injunctions, declaratory judgments, orders for specific performance, compensation for harm, and punitive damages in cases of willful or reckless violations.", "core_obligation": { "actor": "Court", "action": "grant remedies", "modality": "may grant", "object": "judicial remedies", "conditions": [ "Injunctions to prevent or stop violations", "Declaratory judgments on rights and obligations", "Orders for specific performance of statutory duties", "Compensation for harm caused", "Punitive damages for willful or reckless violations" ] }, "applicability": "Courts in successful enforcement actions", "severity": "high", "category": "Sanctions", "source_ref": { "page": 54, "clause": "Section 67.5(a)", "text_snippet": "The court may grant the following remedies: (i) Injunctions to prevent or stop violations..." } }, { "rule_id": "STD-2024-067.5b", "title": "Remedy Determination Factors", "rule_type": "obligation", "summary": "In determining remedies, the court shall consider the nature and extent of violation, harm to public interests, economic benefits from violation, and compliance history.", "core_obligation": { "actor": "Court", "action": "consider specified factors in determining remedies", "modality": "shall consider", "object": "remedy determination factors", "conditions": [ "Nature and extent of the violation", "Harm caused to public interests", "Economic benefits derived from the violation", "Compliance history of the violator" ] }, "applicability": "Courts determining remedies in enforcement actions", "severity": "medium", "category": "Procedure", "source_ref": { "page": 54, "clause": "Section 67.5(b)", "text_snippet": "In determining remedies, the court shall consider: (i) The nature and extent of the violation..." } }, { "rule_id": "STD-2024-067.6a", "title": "Cost Orders Against Unsuccessful Party", "rule_type": "power", "summary": "The court may order the unsuccessful party to pay the reasonable costs of the successful party.", "core_obligation": { "actor": "Court", "action": "order costs payment", "modality": "may order", "object": "reasonable costs", "conditions": [ "Unsuccessful party pays successful party's reasonable costs" ] }, "applicability": "All enforcement actions under Section 67", "severity": "low", "category": "Procedure", "source_ref": { "page": 54, "clause": "Section 67.6(a)", "text_snippet": "The court may order the unsuccessful party to pay the reasonable costs of the successful party." } }, { "rule_id": "STD-2024-067.6b", "title": "Public Interest Cost Allocation", "rule_type": "power", "summary": "Where an action has served significant public interest, the court may order each party to bear its own costs or order the Competent Authority to contribute to plaintiff's costs.", "core_obligation": { "actor": "Court", "action": "make special cost orders for public interest cases", "modality": "may order", "object": "cost allocation", "conditions": [ "Action has served a significant public interest", "Each party bears own costs regardless of outcome, OR", "Competent Authority contributes to plaintiff's costs" ] }, "applicability": "Enforcement actions serving significant public interest", "severity": "medium", "category": "Procedure", "source_ref": { "page": 54, "clause": "Section 67.6(b)", "text_snippet": "Where the action has served a significant public interest, the court may order that: (i) Each party bears its own costs..." } }, { "rule_id": "STD-2024-067.6c", "title": "Public Interest Litigation Fund Establishment", "rule_type": "obligation", "summary": "The government shall establish a Public Interest Litigation Fund to provide financial support for eligible cases and cover adverse costs orders in unsuccessful but meritorious cases.", "core_obligation": { "actor": "Government", "action": "establish and maintain litigation fund", "modality": "shall establish", "object": "Public Interest Litigation Fund", "conditions": [ "Provide financial support for eligible cases", "Cover adverse costs orders in unsuccessful but meritorious cases" ] }, "applicability": "Government obligation for public interest enforcement support", "severity": "high", "category": "Compliance", "source_ref": { "page": 54, "clause": "Section 67.6(c)", "text_snippet": "The government shall establish a Public Interest Litigation Fund to: (i) Provide financial support for eligible cases..." } }, { "rule_id": "STD-2024-067.7a", "title": "Prohibition on Retaliatory Action", "rule_type": "obligation", "summary": "It is unlawful for any person to retaliate against individuals or organizations for bringing enforcement actions, assisting in such actions, or providing supporting information.", "core_obligation": { "actor": "Any person", "action": "refrain from retaliatory action", "modality": "shall be unlawful", "object": "retaliation", "conditions": [ "Against bringing an action under Section 67", "Against assisting in such an action", "Against providing information to support such an action" ] }, "applicability": "All persons in relation to enforcement actions under Section 67", "severity": "high", "category": "Prohibition", "source_ref": { "page": 54, "clause": "Section 67.7(a)", "text_snippet": "It shall be unlawful for any person to retaliate against an individual or organisation for: (i) Bringing an action under this section..." } }, { "rule_id": "STD-2024-067.7b", "title": "Remedies for Retaliatory Action", "rule_type": "power", "summary": "Persons subject to retaliatory action may bring a separate action for reinstatement, compensation for losses, and punitive damages against the retaliating party.", "core_obligation": { "actor": "Person subject to retaliation", "action": "bring action for remedies", "modality": "may bring", "object": "separate action for retaliation remedies", "conditions": [ "Reinstatement to position if applicable", "Compensation for losses suffered", "Punitive damages against retaliating party" ] }, "applicability": "Individuals or organizations subjected to retaliatory action", "severity": "high", "category": "Enforcement", "source_ref": { "page": 54, "clause": "Section 67.7(b)", "text_snippet": "Any person subject to retaliatory action may bring a separate action for: (i) Reinstatement to their position..." } }, { "rule_id": "STD-2024-068", "title": "Joint Inspections Requirement", "rule_type": "obligation", "summary": "Authorities must conduct joint inspections of entities subject to multiple regulatory regimes.", "core_obligation": { "actor": "Authorities", "action": "conduct joint inspections", "modality": "shall", "object": "entities subject to multiple regulatory regimes", "conditions": [] }, "applicability": "Authorities supervising entities under multiple regulatory regimes.", "severity": "high", "category": "Supervision", "source_ref": { "page": 43, "clause": "Section 61.4(a)(i)", "text_snippet": "Conduct joint inspections of entities subject to multiple regulatory regimes" } }, { "rule_id": "STD-2024-068.1", "title": "Establishment of Centralised Alert Portal", "rule_type": "obligation", "summary": "The Competent Authority must establish and maintain a centralised online Alert Portal for reporting violations, submitting complaints, and raising concerns about emerging risks.", "core_obligation": { "actor": "Competent Authority", "action": "establish and maintain", "modality": "shall", "object": "centralised online Alert Portal", "conditions": [ "for reporting potential violations of this Act", "for submitting complaints about regulated entities", "for raising concerns about emerging risks in the regulated sector" ] }, "applicability": "Competent Authority responsible for regulatory oversight", "severity": "high", "category": "Infrastructure", "source_ref": { "page": 56, "clause": "68.1(a)", "text_snippet": "The Competent Authority shall establish and maintain a centralised online Alert Portal for..." } }, { "rule_id": "STD-2024-068.1b", "title": "Alert Portal Accessibility and Features", "rule_type": "obligation", "summary": "The Alert Portal must be accessible 24/7, allow anonymous submissions, support document uploads, and provide automated acknowledgment with unique reference numbers.", "core_obligation": { "actor": "Competent Authority", "action": "ensure portal features", "modality": "shall", "object": "Alert Portal functionality", "conditions": [ "accessible 24/7 via website and mobile application", "allow for anonymous submissions", "support uploads of documents, images, and other evidence", "provide automated acknowledgment with unique reference number" ] }, "applicability": "Alert Portal system operated by Competent Authority", "severity": "high", "category": "Technology", "source_ref": { "page": 56, "clause": "68.1(b)", "text_snippet": "The Alert Portal shall: (i) Be accessible 24/7 via the Authority's website and a mobile application..." } }, { "rule_id": "STD-2024-068.2a", "title": "Alert Categorisation System", "rule_type": "obligation", "summary": "The Alert Portal must allow categorisation of submissions including whistleblower reports, consumer complaints, environmental incidents, financial misconduct, public health risks, and regulatory non-compliance.", "core_obligation": { "actor": "Competent Authority", "action": "implement categorisation system", "modality": "shall", "object": "Alert Portal categorisation functionality", "conditions": [ "including whistleblower reports from employees", "consumer complaints about products or services", "environmental incidents or hazards", "financial misconduct or fraud", "potential public health risks", "non-compliance with regulatory requirements" ] }, "applicability": "Alert Portal system design and functionality", "severity": "medium", "category": "Technology", "source_ref": { "page": 56, "clause": "68.2(a)", "text_snippet": "The Alert Portal shall allow for categorisation of submissions, including..." } }, { "rule_id": "STD-2024-068.2b", "title": "Intelligent Alert Routing", "rule_type": "obligation", "summary": "The Alert Portal system must use intelligent categorisation to automatically route alerts to appropriate departments.", "core_obligation": { "actor": "Competent Authority", "action": "implement intelligent routing", "modality": "shall", "object": "alert routing system", "conditions": [ "route alerts to appropriate departments based on categorisation" ] }, "applicability": "Alert Portal system operations", "severity": "medium", "category": "Technology", "source_ref": { "page": 56, "clause": "68.2(b)", "text_snippet": "The system shall use intelligent categorisation to route alerts to appropriate departments." } }, { "rule_id": "STD-2024-068.3a", "title": "Alert Processing Timelines", "rule_type": "obligation", "summary": "The Competent Authority must acknowledge alerts within [X] hours, conduct initial assessment within 5 working days, and decide on further action within [X] working days.", "core_obligation": { "actor": "Competent Authority", "action": "process alerts within specified timelines", "modality": "shall", "object": "alert processing", "conditions": [ "acknowledge receipt within [X] hours", "conduct initial assessment within 5 working days", "decide on further action within [X] working days" ] }, "applicability": "All alerts received through the Alert Portal", "severity": "high", "category": "Compliance", "source_ref": { "page": 56, "clause": "68.3(a)", "text_snippet": "The Competent Authority shall: (i) Acknowledge receipt of all alerts within [X] hours; (ii) Conduct an initial assessment..." } }, { "rule_id": "STD-2024-068.3a", "title": "Alert Acknowledgment and Assessment Timeline", "rule_type": "obligation", "summary": "The Competent Authority must acknowledge receipt of alerts within specified hours, conduct initial assessment within 5 working days, and decide on further action within specified working days.", "core_obligation": { "actor": "Competent Authority", "action": "acknowledge, assess, and decide on alerts", "modality": "shall", "object": "all alerts received through Alert Portal", "conditions": [ "acknowledge receipt within [X] hours", "conduct initial assessment within 5 working days", "decide on further action within [X] working days" ] }, "applicability": "All alerts received through the Alert Portal", "severity": "high", "category": "Operational Compliance", "source_ref": { "page": 56, "clause": "68.3(a)", "text_snippet": "The Competent Authority shall: (i) Acknowledge receipt of all alerts within [X] hours; (ii) Conduct an initial assessment of each alert within [X] 5 working days; (iii) Decide on further action within [X working days." } }, { "rule_id": "STD-2024-068.3b", "title": "Alert Tracking and Status Recording", "rule_type": "obligation", "summary": "For each alert, the Authority must assign a unique reference number, record all actions taken, and regularly update the status visible to the submitter.", "core_obligation": { "actor": "Competent Authority", "action": "track and record alert processing", "modality": "shall", "object": "alert tracking system", "conditions": [ "assign unique reference number for tracking", "record all actions taken in response to alert", "regularly update status visible to submitter" ] }, "applicability": "All alerts processed through the Alert Portal", "severity": "medium", "category": "Compliance", "source_ref": { "page": 56, "clause": "68.3(b)", "text_snippet": "For each alert, the Authority shall: (i) Assign a unique reference number for tracking; (ii) Record all actions taken..." } }, { "rule_id": "STD-2024-068.3b", "title": "Alert Tracking and Documentation", "rule_type": "obligation", "summary": "The Authority must assign unique reference numbers to alerts, record all actions taken, and regularly update the status visible to submitters.", "core_obligation": { "actor": "Authority", "action": "track, document, and update alert status", "modality": "shall", "object": "each alert", "conditions": [ "assign unique reference number for tracking", "record all actions taken in response", "regularly update status visible to submitter" ] }, "applicability": "All alerts received through the Alert Portal", "severity": "medium", "category": "Record Keeping", "source_ref": { "page": 56, "clause": "68.3(b)", "text_snippet": "For each alert, the Authority shall: (i) Assign a unique reference number for tracking; (ii) Record all actions taken in response to the alert; and (iii) Regularly update the status visible to the submitter." } }, { "rule_id": "STD-2024-068.3c", "title": "Investigation Assignment and Management", "rule_type": "obligation", "summary": "When an alert warrants investigation, the Authority must assign an investigator within [X] working days, develop an investigation plan with timelines, and regularly review progress.", "core_obligation": { "actor": "Competent Authority", "action": "manage investigations", "modality": "shall", "object": "investigation process", "conditions": [ "assign investigator within [X] working days", "develop investigation plan with timelines", "regularly review investigation progress" ] }, "applicability": "Alerts that warrant investigation", "severity": "high", "category": "Enforcement", "source_ref": { "page": 56, "clause": "68.3(c)", "text_snippet": "Where an alert warrants investigation, the Authority shall: (i) Assign an investigator within [X] working days..." } }, { "rule_id": "STD-2024-068.3c", "title": "Investigation Assignment and Planning", "rule_type": "obligation", "summary": "When an alert warrants investigation, the Authority must assign an investigator within specified working days, develop an investigation plan with timelines, and regularly review progress.", "core_obligation": { "actor": "Authority", "action": "assign investigator, develop plan, and review progress", "modality": "shall", "object": "alerts warranting investigation", "conditions": [ "assign investigator within [X] working days", "develop investigation plan with timelines", "regularly review progress of investigation" ] }, "applicability": "Alerts that warrant investigation", "severity": "high", "category": "Investigation", "source_ref": { "page": 56, "clause": "68.3(c)", "text_snippet": "Where an alert warrants investigation, the Authority shall: (i) Assign an investigator within [X] working days; (ii) Develop an investigation plan with timelines; and (iii) Regularly review progress of the investigation." } }, { "rule_id": "STD-2024-068.4a", "title": "Alert Portal Security Measures", "rule_type": "obligation", "summary": "The Alert Portal must incorporate robust security measures including end-to-end encryption, secure storage, and access controls limiting staff access on a need-to-know basis.", "core_obligation": { "actor": "Competent Authority", "action": "implement security measures", "modality": "shall", "object": "Alert Portal security infrastructure", "conditions": [ "end-to-end encryption of all communications", "secure storage of all submitted information", "access controls limiting staff access on need-to-know basis" ] }, "applicability": "Alert Portal system and all communications", "severity": "critical", "category": "Data Protection", "source_ref": [ { "page": 56, "clause": "68.4(a)", "text_snippet": "The Alert Portal shall incorporate robust security measures, including: (i) End-to-end encryption...", "_origin_rule_id": "STD-2024-068.4a" }, { "page": 56, "clause": "68.4(a)", "text_snippet": "The Alert Portal shall incorporate robust security measures, including: (i) End-to-end encryption of all communications; (ii) Secure storage of all submitted information; and (iii) Access controls limiting staff access to alerts on a need-to-know basis.", "_origin_rule_id": "STD-2024-068.4a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-068.4b", "title": "Anonymous Submitter Identity Protection", "rule_type": "obligation", "summary": "The identity of anonymous submitters must be protected through technical measures preventing tracking or identification and legal prohibitions on attempting to identify them.", "core_obligation": { "actor": "Competent Authority", "action": "protect anonymous submitter identity", "modality": "shall", "object": "identity of anonymous submitters", "conditions": [ "technical measures preventing tracking or identification", "legal prohibitions on attempting to identify anonymous submitters" ] }, "applicability": "All anonymous submissions through Alert Portal", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 56, "clause": "68.4(b)", "text_snippet": "The identity of anonymous submitters shall be protected by: (i) Technical measures preventing tracking..." } }, { "rule_id": "STD-2024-068.4b", "title": "Anonymous Submitter Protection", "rule_type": "obligation", "summary": "The identity of anonymous submitters must be protected through technical measures preventing identification and legal prohibitions on attempting to identify them.", "core_obligation": { "actor": "Authority", "action": "protect identity of anonymous submitters", "modality": "shall", "object": "identity of anonymous submitters", "conditions": [ "technical measures preventing tracking or identification", "legal prohibitions on attempting to identify anonymous submitters" ] }, "applicability": "All anonymous alert submissions", "severity": "critical", "category": "Privacy Protection", "source_ref": { "page": 56, "clause": "68.4(b)", "text_snippet": "The identity of anonymous submitters shall be protected by: (i) Technical measures preventing tracking or identification; and (ii) Legal prohibitions on attempting to identify anonymous submitters." } }, { "rule_id": "STD-2024-068.4c", "title": "Personal Data Processing and Retention Limits", "rule_type": "obligation", "summary": "Personal data collected through the Alert Portal must be used only for processing and investigating alerts, retained only as long as necessary, and deleted or anonymised when no longer needed.", "core_obligation": { "actor": "Competent Authority", "action": "process and retain personal data appropriately", "modality": "shall", "object": "personal data from Alert Portal", "conditions": [ "used only for processing and investigating alerts", "retained only for as long as necessary for these purposes", "deleted or anonymised once no longer needed" ] }, "applicability": "All personal data collected through Alert Portal", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 56, "clause": "68.4(c)", "text_snippet": "Personal data collected through the Alert Portal shall be: (i) Used only for the purposes of processing..." } }, { "rule_id": "STD-2024-068.4c", "title": "Personal Data Processing and Retention", "rule_type": "obligation", "summary": "Personal data collected through the Alert Portal must be used only for processing and investigating alerts, retained only as long as necessary, and deleted or anonymised when no longer needed.", "core_obligation": { "actor": "Authority", "action": "process, retain, and delete personal data appropriately", "modality": "shall", "object": "personal data collected through Alert Portal", "conditions": [ "used only for processing and investigating alerts", "retained only for as long as necessary", "deleted or anonymised once no longer needed" ] }, "applicability": "All personal data collected through the Alert Portal", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 56, "clause": "68.4(c)", "text_snippet": "Personal data collected through the Alert Portal shall be: (i) Used only for the purposes of processing and investigating alerts; (ii) Retained only for as long as necessary for these purposes; and (iii) Deleted or anonymised once no longer needed." } }, { "rule_id": "STD-2024-068.5a", "title": "Alert Status Updates and Outcome Notification", "rule_type": "obligation", "summary": "The Authority must provide updates on alert status at least monthly, inform the submitter of investigation outcomes, and seek feedback (text incomplete).", "core_obligation": { "actor": "Competent Authority", "action": "provide feedback and updates", "modality": "shall", "object": "alert status and outcomes", "conditions": [ "provide updates at least monthly", "inform submitter of investigation outcome", "seek feedback (requirement incomplete in source)" ] }, "applicability": "All alerts submitted through Alert Portal", "severity": "medium", "category": "Transparency", "source_ref": { "page": 56, "clause": "68.5(a)", "text_snippet": "The Authority shall: (i) Provide updates on the status of the alert at least monthly; (ii) Inform the submitter..." } }, { "rule_id": "STD-2024-068.5a", "title": "Alert Status Updates and Communication", "rule_type": "obligation", "summary": "The Authority must provide monthly updates on alert status, inform submitters of investigation outcomes, and seek additional information when needed.", "core_obligation": { "actor": "Authority", "action": "provide updates and communicate with submitters", "modality": "shall", "object": "alert submitters", "conditions": [ "provide updates at least monthly", "inform submitter of investigation outcome", "seek additional information if needed" ] }, "applicability": "All alert submitters", "severity": "medium", "category": "Communication", "source_ref": { "page": 56, "clause": "68.5(a)", "text_snippet": "The Authority shall: (i) Provide updates on the status of the alert at least monthly; (ii) Inform the submitter of the outcome of any investigation; and (iii) Seek additional information from the submitter if needed." } }, { "rule_id": "STD-2024-068.5b", "title": "Publication of Alert Statistics", "rule_type": "obligation", "summary": "The Authority must publish anonymised statistics on alerts received and actions taken, including number by category, response times, and investigation outcomes.", "core_obligation": { "actor": "Authority", "action": "publish anonymised statistics", "modality": "shall", "object": "statistics on alerts and actions", "conditions": [ "include number of alerts by category", "include average response and resolution times", "include outcomes of investigations prompted by alerts", "statistics must be anonymised" ] }, "applicability": "All alerts received through the Alert Portal", "severity": "medium", "category": "Transparency", "source_ref": { "page": 56, "clause": "68.5(b)", "text_snippet": "The Authority shall publish anonymised statistics on alerts received and actions taken, including: (i) Number of alerts by category; (ii) Average response and resolution times; and (iii) Outcomes of investigations prompted by alerts." } }, { "rule_id": "STD-2024-068.6a", "title": "Alert Portal System Integration", "rule_type": "obligation", "summary": "The Alert Portal must be integrated with the Authority's case management system, databases of regulated entities and licenses, and systems of other authorities where appropriate.", "core_obligation": { "actor": "Alert Portal (operated by Authority)", "action": "integrate with other systems", "modality": "shall", "object": "Alert Portal system", "conditions": [ "integrate with Authority's case management system", "integrate with databases of regulated entities and licenses", "integrate with systems of other authorities where appropriate" ] }, "applicability": "The Alert Portal system", "severity": "medium", "category": "System Integration", "source_ref": { "page": 56, "clause": "68.6(a)", "text_snippet": "The Alert Portal shall be integrated with: (i) The Authority's case management system; (ii) Relevant databases of regulated entities and licenses; and (iii) Systems of other authorities where appropriate." } }, { "rule_id": "STD-2024-068.6b", "title": "Alert Portal API Functionality", "rule_type": "obligation", "summary": "The Portal must include an API allowing regulated entities to submit required reports directly and authorised third-party apps to submit alerts on behalf of users.", "core_obligation": { "actor": "Alert Portal (operated by Authority)", "action": "provide API functionality", "modality": "shall", "object": "Alert Portal API", "conditions": [ "allow regulated entities to submit required reports directly", "allow authorised third-party apps to submit alerts on behalf of users" ] }, "applicability": "The Alert Portal system", "severity": "medium", "category": "System Integration", "source_ref": { "page": 56, "clause": "68.6(b)", "text_snippet": "The Portal shall include an API allowing: (i) Regulated entities to submit required reports directly; (ii) Authorised third-party apps to submit alerts on behalf of users." } }, { "rule_id": "STD-2024-068.7a", "title": "Alert Portal Annual Review and Assessment", "rule_type": "obligation", "summary": "The Competent Authority must conduct an annual review of the Alert Portal's effectiveness, seek user feedback through periodic surveys, and benchmark against international best practices.", "core_obligation": { "actor": "Competent Authority", "action": "review, assess, and benchmark Alert Portal", "modality": "shall", "object": "Alert Portal system", "conditions": [ "conduct annual review of effectiveness", "seek feedback from users through periodic surveys", "benchmark system against international best practices" ] }, "applicability": "The Alert Portal system", "severity": "medium", "category": "Continuous Improvement", "source_ref": { "page": 56, "clause": "68.7(a)", "text_snippet": "The Competent Authority shall: (i) Conduct an annual review of the Alert Portal's effectiveness; (ii) Seek feedback from users through periodic surveys; and (iii) Benchmark the system against international best practices." } }, { "rule_id": "STD-2024-068.7b", "title": "Alert Portal Improvement Implementation", "rule_type": "obligation", "summary": "Based on assessments, the Authority must implement improvements to Portal functionality, enhance internal processes for handling alerts, and provide additional staff training.", "core_obligation": { "actor": "Authority", "action": "implement improvements and enhancements", "modality": "shall", "object": "Alert Portal and related processes", "conditions": [ "implement improvements to Portal's functionality", "enhance internal processes for handling alerts", "provide additional training to staff managing the Portal", "based on review assessments" ] }, "applicability": "The Alert Portal system and staff", "severity": "medium", "category": "Continuous Improvement", "source_ref": { "page": 56, "clause": "68.7(b)", "text_snippet": "Based on these assessments, the Authority shall: (i) Implement improvements to the Portal's functionality; (ii) Enhance internal processes for handling alerts; and (iii) Provide additional training to staff managing the Portal." } }, { "rule_id": "STD-2024-069.1.1", "title": "Establishment of Whistleblowing Channels", "rule_type": "obligation", "summary": "The Competent Authority must establish and maintain secure whistleblowing channels including online portal, hotline, postal address, and in-person facilities.", "core_obligation": { "actor": "Competent Authority", "action": "establish and maintain secure whistleblowing channels", "modality": "shall", "object": "dedicated online portal, toll-free telephone hotline, secure postal address, in-person reporting facilities", "conditions": [ "channels must be accessible 24/7", "must allow anonymous reporting", "must use encryption and security measures to protect confidentiality" ] }, "applicability": "Competent Authority responsible for whistleblowing oversight", "severity": "critical", "category": "Institutional Framework", "source_ref": { "page": 58, "clause": "Section 69.1(a)-(b)", "text_snippet": "The Competent Authority shall establish and maintain secure channels for receiving whistleblower reports..." } }, { "rule_id": "STD-2024-069.1.2", "title": "Establishment of Independent Office of the Whistleblower", "rule_type": "obligation", "summary": "The Competent Authority must establish an independent Office of the Whistleblower with sufficient resources and authority to oversee whistleblowing mechanisms.", "core_obligation": { "actor": "Competent Authority", "action": "establish independent Office of the Whistleblower", "modality": "shall", "object": "Office of the Whistleblower", "conditions": [ "Office must oversee and coordinate whistleblowing mechanisms across all sectors", "Office must have sufficient resources and authority to investigate complaints", "Office must enforce protections and recommend improvements", "Office must report annually to Parliament" ] }, "applicability": "Competent Authority", "severity": "critical", "category": "Institutional Framework", "source_ref": { "page": 58, "clause": "Section 69.1(c)", "text_snippet": "The Competent Authority shall: (i) Establish an independent Office of the Whistleblower..." } }, { "rule_id": "STD-2024-069.2.1", "title": "Scope of Reportable Matters", "rule_type": "power", "summary": "Whistleblowers may report violations of the Act, criminal offences, risks to public health/safety/environment, mismanagement of public funds, and abuse of authority.", "core_obligation": { "actor": "Whistleblowers", "action": "report on specified matters", "modality": "may", "object": "violations, criminal offences, risks, mismanagement, abuse of authority", "conditions": [ "within Authority's jurisdiction" ] }, "applicability": "All potential whistleblowers", "severity": "medium", "category": "Reporting Rights", "source_ref": { "page": 58, "clause": "Section 69.2(a)", "text_snippet": "Whistleblowers may report on: (i) Violations of this Act or related regulations..." } }, { "rule_id": "STD-2024-069.2.2", "title": "Good Faith Reporting Requirement", "rule_type": "obligation", "summary": "Whistleblower reports must be made in good faith, based on reasonable grounds, and related to matters within the Authority's jurisdiction.", "core_obligation": { "actor": "Whistleblowers", "action": "make reports meeting specified criteria", "modality": "must", "object": "whistleblower reports", "conditions": [ "made in good faith", "based on reasonable grounds", "related to matters within Authority's jurisdiction" ] }, "applicability": "All whistleblowers making reports", "severity": "high", "category": "Reporting Standards", "source_ref": { "page": 58, "clause": "Section 69.2(b)", "text_snippet": "Reports must be: (i) Made in good faith; (ii) Based on reasonable grounds..." } }, { "rule_id": "STD-2024-069.3.1", "title": "Comprehensive Whistleblower Protections", "rule_type": "protection", "summary": "Whistleblowers shall be protected from termination, demotion, adverse employment actions, harassment, discrimination, and civil/criminal liability related to disclosure.", "core_obligation": { "actor": "Employers and legal system", "action": "protect whistleblowers from retaliation", "modality": "shall", "object": "whistleblowers", "conditions": [ "protection from termination of employment", "protection from demotion or adverse employment actions", "protection from harassment or discrimination", "protection from civil or criminal liability related to disclosure", "protection from liability for breach of confidentiality agreements" ] }, "applicability": "Employees, former employees, contractors, suppliers, applicants, volunteers, and interns of regulated entities", "severity": "critical", "category": "Whistleblower Protection", "source_ref": { "page": 58, "clause": "Section 69.3(a)-(b)", "text_snippet": "Whistleblowers shall be protected from: (i) Termination of employment..." } }, { "rule_id": "STD-2024-069.3.2", "title": "Exceptions to Whistleblower Protection", "rule_type": "limitation", "summary": "Protection shall not be afforded to persons who knowingly make false reports, seek personal gain, or participate in the reported wrongdoing.", "core_obligation": { "actor": "Competent Authority", "action": "deny protection in specified circumstances", "modality": "shall not", "object": "whistleblower protections", "conditions": [ "person knowingly made false reports", "person seeks personal gain through report", "person participated in the reported wrongdoing" ] }, "applicability": "Persons making whistleblower reports", "severity": "high", "category": "Whistleblower Protection", "source_ref": { "page": 58, "clause": "Section 69.3(c)", "text_snippet": "Protection shall not be afforded to persons who: (i) Knowingly make false reports..." } }, { "rule_id": "STD-2024-069.3.3", "title": "Burden of Proof in Retaliation Cases", "rule_type": "procedural_rule", "summary": "In retaliation cases, the burden of proof shall be on the employer to demonstrate that any adverse action was not motivated by the whistleblower's disclosure.", "core_obligation": { "actor": "Employer", "action": "bear burden of proof in retaliation cases", "modality": "shall", "object": "proof that adverse action was not retaliation", "conditions": [ "applies in cases of alleged retaliation against whistleblowers" ] }, "applicability": "Employers facing retaliation allegations", "severity": "critical", "category": "Whistleblower Protection", "source_ref": { "page": 58, "clause": "Section 69.3(d)", "text_snippet": "The burden of proof in retaliation cases shall be on the employer to demonstrate..." } }, { "rule_id": "STD-2024-069.3.4", "title": "Non-Waivability of Whistleblower Rights", "rule_type": "prohibition", "summary": "Whistleblower rights cannot be waived or limited by any agreement, policy, form, or condition of employment, including pre-dispute arbitration agreements.", "core_obligation": { "actor": "Employers and regulated entities", "action": "prohibited from limiting whistleblower rights", "modality": "cannot", "object": "whistleblower rights", "conditions": [ "prohibition applies to any agreement, policy, form, or condition of employment", "includes pre-dispute arbitration agreements" ] }, "applicability": "All employers and regulated entities", "severity": "critical", "category": "Whistleblower Protection", "source_ref": { "page": 58, "clause": "Section 69.3(e)", "text_snippet": "Whistleblower rights cannot be waived or limited by any agreement, policy, form..." } }, { "rule_id": "STD-2024-069.4.1", "title": "Timely Processing of Whistleblower Reports", "rule_type": "obligation", "summary": "The Competent Authority shall acknowledge receipt of reports within specified working days, conduct initial assessment, and decide on further action within specified timeframes.", "core_obligation": { "actor": "Competent Authority", "action": "process whistleblower reports within specified timeframes", "modality": "shall", "object": "whistleblower reports", "conditions": [ "acknowledge receipt within [X] working days", "conduct initial assessment within [X] working days", "decide on further action within [X] days of receipt" ] }, "applicability": "Competent Authority handling whistleblower reports", "severity": "high", "category": "Procedural Compliance", "source_ref": { "page": 58, "clause": "Section 69.4(a)", "text_snippet": "The Competent Authority shall: (i) Acknowledge receipt of reports within [X] working days..." } }, { "rule_id": "STD-2024-069.4.2", "title": "Investigation Procedures for Warranted Reports", "rule_type": "obligation", "summary": "Where a report warrants investigation, the Authority shall assign an investigator, complete investigation within specified timeframe, and inform the whistleblower of the outcome.", "core_obligation": { "actor": "Competent Authority", "action": "conduct investigation according to specified procedures", "modality": "shall", "object": "warranted whistleblower reports", "conditions": [ "assign investigator within [X] working days", "complete investigation within [X] days unless extended for good cause", "inform whistleblower of outcome to extent legally permissible" ] }, "applicability": "Competent Authority investigating whistleblower reports", "severity": "high", "category": "Procedural Compliance", "source_ref": { "page": 58, "clause": "Section 69.4(b)", "text_snippet": "Where a report warrants investigation, the Authority shall: (i) Assign an investigator..." } }, { "rule_id": "STD-2024-069.4.3", "title": "Confidentiality of Whistleblower Identity", "rule_type": "obligation", "summary": "The Authority shall maintain confidentiality throughout the process, revealing the whistleblower's identity only with explicit consent or when required by court order.", "core_obligation": { "actor": "Competent Authority", "action": "maintain confidentiality of whistleblower identity", "modality": "shall", "object": "whistleblower identity and reports", "conditions": [ "identity revealed only with explicit consent of whistleblower", "identity revealed only when required by court order" ] }, "applicability": "Competent Authority handling whistleblower reports", "severity": "critical", "category": "Confidentiality", "source_ref": { "page": 58, "clause": "Section 69.4(c)", "text_snippet": "The Authority shall maintain confidentiality throughout the process, revealing the whistleblower's identity only..." } }, { "rule_id": "STD-2024-069.4.4", "title": "Secure Case Management System", "rule_type": "obligation", "summary": "The Competent Authority shall establish a secure case management system to track reports, generate analytics, and identify systemic issues.", "core_obligation": { "actor": "Competent Authority", "action": "establish secure case management system", "modality": "shall", "object": "case management system for whistleblower reports", "conditions": [ "track and monitor all reports from receipt to resolution", "generate analytics on reporting trends and outcomes", "identify potential systemic issues across multiple reports" ] }, "applicability": "Competent Authority", "severity": "high", "category": "Systems and Infrastructure", "source_ref": { "page": 58, "clause": "Section 69.4(d)", "text_snippet": "The Competent Authority shall establish a secure case management system to..." } }, { "rule_id": "STD-2024-069.5.1", "title": "Internal Whistleblowing Mechanisms for Large Entities", "rule_type": "obligation", "summary": "Regulated entities with more than specified number of employees shall establish internal whistleblowing mechanisms, designate a responsible senior officer, and inform all employees.", "core_obligation": { "actor": "Regulated entities", "action": "establish internal whistleblowing mechanisms", "modality": "shall", "object": "internal whistleblowing system", "conditions": [ "applies to entities with more than [X] employees", "must designate senior officer responsible for managing mechanisms", "must inform all employees about available reporting channels" ] }, "applicability": "Regulated entities with more than [X] employees", "severity": "high", "category": "Internal Compliance", "source_ref": { "page": 58, "clause": "Section 69.5(a)", "text_snippet": "Regulated entities with more than [X] employees shall: (i) Establish internal whistleblowing mechanisms..." } }, { "rule_id": "STD-2024-069.5.2", "title": "Requirements for Internal Whistleblowing Mechanisms", "rule_type": "obligation", "summary": "Internal whistleblowing mechanisms must allow anonymous reporting, ensure confidentiality, provide independent investigation, and include safeguards against retaliation.", "core_obligation": { "actor": "Regulated entities", "action": "ensure internal mechanisms meet specified requirements", "modality": "must", "object": "internal whistleblowing mechanisms", "conditions": [ "allow for anonymous reporting", "ensure confidentiality of reports", "provide for independent investigation of reports", "include safeguards against retaliation" ] }, "applicability": "Regulated entities with internal whistleblowing mechanisms", "severity": "high", "category": "Internal Compliance", "source_ref": { "page": 58, "clause": "Section 69.5(b)", "text_snippet": "Internal mechanisms must: (i) Allow for anonymous reporting..." } }, { "rule_id": "STD-2024-069.5.3", "title": "Annual Reporting on Internal Whistleblowing", "rule_type": "obligation", "summary": "Regulated entities shall report annually to the Competent Authority on internal whistleblower reports received, actions taken, and protection measures.", "core_obligation": { "actor": "Regulated entities", "action": "report annually on internal whistleblowing", "modality": "shall", "object": "annual report to Competent Authority", "conditions": [ "report number and types of internal whistleblower reports received", "report actions taken in response to reports", "report measures taken to protect whistleblowers" ] }, "applicability": "Regulated entities with internal whistleblowing mechanisms", "severity": "medium", "category": "Reporting", "source_ref": { "page": 58, "clause": "Section 69.5(c)", "text_snippet": "Regulated entities shall report annually to the Competent Authority on..." } }, { "rule_id": "STD-2024-069.5.4", "title": "Enhanced Internal Whistleblowing System Requirements", "rule_type": "obligation", "summary": "Regulated entities shall designate a whistleblowing champion, ensure multiple reporting channels including to independent third party, implement triage system, and establish clear timelines.", "core_obligation": { "actor": "Regulated entities", "action": "implement enhanced whistleblowing system features", "modality": "shall", "object": "internal whistleblowing system", "conditions": [ "designate senior-level whistleblowing champion", "ensure multiple reporting channels including to independent third party", "implement triage system to assess and prioritise reports by severity and urgency", "establish clear timelines for acknowledging, investigating, and resolving reports" ] }, "applicability": "Regulated entities with internal whistleblowing mechanisms", "severity": "high", "category": "Internal Compliance", "source_ref": { "page": 58, "clause": "Section 69.5(d)", "text_snippet": "Regulated entities shall: (i) Designate a senior-level whistleblowing champion..." } }, { "rule_id": "STD-2024-069.6.1", "title": "Monetary Rewards for Whistleblowers", "rule_type": "power", "summary": "The Competent Authority may provide monetary rewards to whistleblowers whose reports lead to successful enforcement action or prevent significant losses.", "core_obligation": { "actor": "Competent Authority", "action": "provide monetary rewards to qualifying whistleblowers", "modality": "may", "object": "monetary rewards", "conditions": [ "reports lead to successful enforcement action", "reports result in recovery of funds or prevention of losses exceeding specified amount" ] }, "applicability": "Competent Authority and qualifying whistleblowers", "severity": "medium", "category": "Incentives", "source_ref": { "page": 58, "clause": "Section 69.6(a)", "text_snippet": "The Competent Authority may provide monetary rewards to whistleblowers whose reports..." } }, { "rule_id": "STD-2024-069.6.2", "title": "Whistleblower Reward Parameters", "rule_type": "obligation", "summary": "Rewards shall be between specified percentages of funds recovered or losses prevented, capped at maximum amount, and paid from dedicated Whistleblower Reward Fund.", "core_obligation": { "actor": "Competent Authority", "action": "structure rewards according to specified parameters", "modality": "shall", "object": "whistleblower rewards", "conditions": [ "between [10]% and [30]% of funds recovered or losses prevented", "capped at [maximum amount] per case", "paid from dedicated Whistleblower Reward Fund" ] }, "applicability": "Competent Authority administering whistleblower rewards", "severity": "medium", "category": "Incentives", "source_ref": { "page": 58, "clause": "Section 69.6(b)", "text_snippet": "Rewards shall be: (i) Between [10]% and [30]% of funds recovered..." } }, { "rule_id": "STD-2024-069.6.3", "title": "Whistleblower Reward Fund and Administration", "rule_type": "obligation", "summary": "The Competent Authority shall establish a dedicated Whistleblower Reward Fund, maintain independent committee, publish case studies, and ensure independent reward determinations.", "core_obligation": { "actor": "Competent Authority", "action": "establish and administer whistleblower reward system", "modality": "shall", "object": "Whistleblower Reward Fund and administration", "conditions": [ "establish dedicated fund funded by percentage of recovered funds or penalties", "establish and maintain independent committee on rewards", "publish anonymised case studies of successful cases and rewards granted", "ensure reward determinations made by independent panel to avoid conflicts of interest" ] }, "applicability": "Competent Authority", "severity": "high", "category": "Incentives", "source_ref": { "page": 58, "clause": "Section 69.6(d)", "text_snippet": "The Competent Authority shall: (i) Establish a dedicated Whistleblower Reward Fund..." } }, { "rule_id": "STD-2024-069.7.1", "title": "Authority's Education and Awareness Obligations", "rule_type": "obligation", "summary": "The Competent Authority shall conduct public awareness campaigns, provide training to regulated entities, and publish guidance materials on whistleblowing.", "core_obligation": { "actor": "Competent Authority", "action": "conduct education and awareness activities", "modality": "shall", "object": "public awareness campaigns, training, and guidance materials", "conditions": [ "conduct regular public awareness campaigns about whistleblowing", "provide training to regulated entities on establishing effective internal mechanisms", "publish guidance materials on whistleblower rights and procedures" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "Education and Awareness", "source_ref": { "page": 58, "clause": "Section 69.7(a)", "text_snippet": "The Competent Authority shall: (i) Conduct regular public awareness campaigns..." } }, { "rule_id": "STD-2024-069.7.2", "title": "Regulated Entities' Whistleblowing Education Obligations", "rule_type": "obligation", "summary": "Regulated entities shall include whistleblowing procedures in employee onboarding, conduct annual refresher training, and display information prominently in the workplace.", "core_obligation": { "actor": "Regulated entities", "action": "provide whistleblowing education to employees", "modality": "shall", "object": "employee training and information", "conditions": [ "include whistleblowing procedures in employee onboarding", "conduct annual refresher training for all employees", "display information about whistleblowing rights prominently in workplace" ] }, "applicability": "All regulated entities", "severity": "medium", "category": "Education and Awareness", "source_ref": { "page": 58, "clause": "Section 69.7(b)", "text_snippet": "Regulated entities shall: (i) Include whistleblowing procedures in employee onboarding..." } }, { "rule_id": "STD-2024-069.7.3", "title": "Enhanced Whistleblowing Education Initiatives", "rule_type": "obligation", "summary": "The Competent Authority shall develop sector-specific guidelines, establish certification program for organizational systems, and conduct annual national awareness week.", "core_obligation": { "actor": "Competent Authority", "action": "implement enhanced education initiatives", "modality": "shall", "object": "sector-specific guidelines, certification program, awareness week", "conditions": [ "develop sector-specific whistleblowing guidelines and best practices", "establish certification program for organisational whistleblowing systems", "conduct annual national whistleblowing awareness week" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "Education and Awareness", "source_ref": { "page": 58, "clause": "Section 69.7(c)", "text_snippet": "The Competent Authority shall: (i) Develop sector-specific whistleblowing guidelines..." } }, { "rule_id": "STD-2024-069.8.1", "title": "Authority's Annual Whistleblowing Report", "rule_type": "obligation", "summary": "The Competent Authority shall publish an annual report on whistleblowing including statistics, outcomes, enforcement actions, rewards, and emerging trends.", "core_obligation": { "actor": "Competent Authority", "action": "publish annual whistleblowing report", "modality": "shall", "object": "annual report on whistleblowing", "conditions": [ "include number and types of reports received", "include outcomes of investigations", "include enforcement actions taken", "include rewards granted", "include emerging trends and systemic issues identified" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 58, "clause": "Section 69.8(a)", "text_snippet": "The Competent Authority shall publish an annual report on whistleblowing, including..." } }, { "rule_id": "STD-2024-069.8.2", "title": "Large Entities' Whistleblowing Reporting Obligation", "rule_type": "obligation", "summary": "Regulated entities with more than specified employees and/or income shall include a whistleblowing section in their annual reports detailing system structure, reports received, outcomes, and protection measures.", "core_obligation": { "actor": "Regulated entities", "action": "include whistleblowing section in annual reports", "modality": "shall", "object": "whistleblowing section in annual report", "conditions": [ "applies to entities with more than [100] employees and/or more than [X] annual income from regulated activity", "detail structure and effectiveness of internal whistleblowing system", "report number and types of reports received", "report general outcomes of investigations", "report measures taken to protect whistleblowers and prevent retaliation" ] }, "applicability": "Large regulated entities meeting specified thresholds", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 58, "clause": "Section 69.8(b)", "text_snippet": "Regulated entities with more than [100] employees [and/or more than [X] annual income...] shall include a whistleblowing section..." } }, { "rule_id": "STD-2024-070.10a", "title": "Public Education by Competent Authority", "rule_type": "obligation", "summary": "The Competent Authority must conduct public awareness campaigns about whistleblower and witness protection, provide training to law enforcement and judicial officers, and develop educational materials.", "core_obligation": { "actor": "Competent Authority", "action": "conduct awareness campaigns, provide training, develop educational materials", "modality": "shall", "object": "public education activities", "conditions": [] }, "applicability": "Competent Authority conducting public education.", "severity": "low", "category": "Education and Awareness", "source_ref": { "page": 60, "clause": "Section 70.10(a)", "text_snippet": "The Competent Authority shall: (i) Conduct public awareness campaigns about whistleblower and witness protection..." } }, { "rule_id": "STD-2024-070.10b", "title": "Regulated Entity Education Requirements", "rule_type": "obligation", "summary": "All regulated entities must include information about whistleblower and witness protection in their compliance programs and train employees on their rights and obligations regarding protected disclosures and testimony.", "core_obligation": { "actor": "Regulated entities", "action": "include protection information in compliance programs, train employees", "modality": "shall", "object": "compliance program content and employee training", "conditions": [] }, "applicability": "All regulated entities.", "severity": "medium", "category": "Compliance", "source_ref": { "page": 60, "clause": "Section 70.10(b)", "text_snippet": "All regulated entities shall: (i) Include information about whistleblower and witness protection in their compliance programs..." } }, { "rule_id": "STD-2024-070.10c", "title": "Protection Unit Education Initiatives", "rule_type": "obligation", "summary": "The Protection Unit must develop a comprehensive online resource center, conduct regular media briefings on the importance of protection (without disclosing sensitive information), and engage with academic institutions to promote research.", "core_obligation": { "actor": "Protection Unit", "action": "develop online resource center, conduct media briefings, engage with academic institutions", "modality": "shall", "object": "education and research initiatives", "conditions": [ "without disclosing sensitive information in media briefings" ] }, "applicability": "Protection Unit conducting education and research initiatives.", "severity": "low", "category": "Education and Awareness", "source_ref": { "page": 60, "clause": "Section 70.10(c)", "text_snippet": "The Protection Unit shall: (i) Develop a comprehensive online resource center on whistleblower and witness protection..." } }, { "rule_id": "STD-2024-070.1a", "title": "Establishment of Whistleblower and Witness Protection Program", "rule_type": "obligation", "summary": "The Competent Authority must establish a Whistleblower and Witness Protection Program to ensure safety, facilitate cooperation, and protect from retaliation.", "core_obligation": { "actor": "Competent Authority", "action": "establish a Whistleblower and Witness Protection Program", "modality": "shall", "object": "Protection Program", "conditions": [ "to ensure safety and well-being of whistleblowers and witnesses", "to facilitate cooperation in investigations and proceedings", "to protect from retaliation or intimidation" ] }, "applicability": "Competent Authority responsible for regulatory oversight", "severity": "critical", "category": "Whistleblower Protection", "source_ref": { "page": 60, "clause": "Section 70.1(a)", "text_snippet": "The Competent Authority shall establish a Whistleblower and Witness Protection Program to..." } }, { "rule_id": "STD-2024-070.1b", "title": "Administration by Dedicated Protection Unit", "rule_type": "obligation", "summary": "The Protection Program must be administered by a dedicated Protection Unit that assesses needs, implements measures, and coordinates with law enforcement.", "core_obligation": { "actor": "Competent Authority", "action": "administer Program through dedicated Protection Unit", "modality": "shall", "object": "Protection Unit", "conditions": [ "assess protection needs case-by-case", "implement appropriate protection measures", "coordinate with law enforcement agencies as necessary" ] }, "applicability": "Competent Authority and Protection Unit", "severity": "high", "category": "Organizational Structure", "source_ref": { "page": 60, "clause": "Section 70.1(b)", "text_snippet": "The Program shall be administered by a dedicated Protection Unit within the Authority..." } }, { "rule_id": "STD-2024-070.1c", "title": "Protection Unit Operational Requirements", "rule_type": "obligation", "summary": "The Protection Unit must develop risk assessment frameworks, establish secure communications, conduct security audits, and provide psychological support.", "core_obligation": { "actor": "Protection Unit", "action": "develop and implement operational capabilities", "modality": "shall", "object": "operational framework", "conditions": [ "develop risk assessment framework", "establish secure communication channels", "conduct regular security audits", "provide ongoing psychological support and counseling" ] }, "applicability": "Protection Unit within Competent Authority", "severity": "high", "category": "Operational Requirements", "source_ref": { "page": 60, "clause": "Section 70.1(c)", "text_snippet": "The Protection Unit shall: (i) Develop and implement a risk assessment framework..." } }, { "rule_id": "STD-2024-070.2a", "title": "Eligibility Categories for Protection", "rule_type": "definition", "summary": "Defines eligible individuals including whistleblowers, witnesses, family members, and assistants.", "core_obligation": { "actor": "Protection Unit", "action": "recognize eligible persons", "modality": "shall", "object": "eligible individuals", "conditions": [ "whistleblowers with protected disclosures under Section 69", "witnesses in investigations or proceedings", "immediate family members", "individuals who assisted whistleblowers or witnesses" ] }, "applicability": "All persons seeking protection under the Program", "severity": "high", "category": "Eligibility Criteria", "source_ref": { "page": 60, "clause": "Section 70.2(a)", "text_snippet": "The following individuals shall be eligible for protection..." } }, { "rule_id": "STD-2024-070.2b", "title": "Eligibility Conditions for Protection", "rule_type": "obligation", "summary": "To be eligible, individuals must face credible threats, agree to cooperate fully, and consent to reasonable conditions.", "core_obligation": { "actor": "Individual seeking protection", "action": "meet eligibility requirements", "modality": "must", "object": "eligibility conditions", "conditions": [ "face credible threat of harm or retaliation", "agree to cooperate fully with investigation or proceeding", "consent to reasonable conditions imposed by Protection Unit" ] }, "applicability": "All individuals seeking protection", "severity": "high", "category": "Eligibility Criteria", "source_ref": { "page": 60, "clause": "Section 70.2(b)", "text_snippet": "To be eligible, the individual must: (i) Face a credible threat..." } }, { "rule_id": "STD-2024-070.2c", "title": "Extended Protection Coverage", "rule_type": "definition", "summary": "Protection extends to support persons, journalists, and family members up to second degree (unlimited for physical protection needs).", "core_obligation": { "actor": "Protection Unit", "action": "extend protection coverage", "modality": "shall", "object": "extended categories of persons", "conditions": [ "persons providing material support", "journalists reporting on disclosures", "family members up to second degree of consanguinity or affinity", "no degree limit where physical protection is evidently necessary" ] }, "applicability": "Extended categories of persons associated with whistleblowers/witnesses", "severity": "high", "category": "Protection Scope", "source_ref": { "page": 60, "clause": "Section 70.2(c)", "text_snippet": "Protection shall extend to: (i) Persons who provide material support..." } }, { "rule_id": "STD-2024-070.3a", "title": "Available Protection Measures", "rule_type": "power", "summary": "The Protection Unit may implement various protection measures including physical protection, relocation, identity change, financial assistance, and legal support.", "core_obligation": { "actor": "Protection Unit", "action": "implement protection measures", "modality": "may", "object": "protection measures", "conditions": [ "physical protection including armed escort and secure housing", "relocation of protected person and family", "change of identity with new documentation", "financial assistance for living expenses and lost income", "psychological support and counseling", "job transfer or employment assistance", "workplace monitoring for retaliation", "legal assistance in proceedings" ] }, "applicability": "Protection Unit implementing protection measures", "severity": "high", "category": "Protection Measures", "source_ref": { "page": 60, "clause": "Section 70.3(a)", "text_snippet": "The Protection Unit may implement the following measures..." } }, { "rule_id": "STD-2024-070.3b", "title": "Factors for Determining Protection Measures", "rule_type": "obligation", "summary": "The Protection Unit must consider threat severity, testimony importance, personal circumstances, and cost/practicality when determining measures.", "core_obligation": { "actor": "Protection Unit", "action": "consider specified factors", "modality": "shall", "object": "determination of appropriate measures", "conditions": [ "nature and severity of threat", "importance of person's testimony or information", "person's personal circumstances and preferences", "cost and practicality of different options" ] }, "applicability": "Protection Unit determining protection measures", "severity": "high", "category": "Risk Assessment", "source_ref": { "page": 60, "clause": "Section 70.3(b)", "text_snippet": "In determining appropriate measures, the Unit shall consider..." } }, { "rule_id": "STD-2024-070.3c", "title": "Protection Infrastructure Requirements", "rule_type": "obligation", "summary": "The Protection Unit must develop safe dwelling networks, employer agreements, and provide digital security training.", "core_obligation": { "actor": "Protection Unit", "action": "develop protection infrastructure", "modality": "shall", "object": "protection infrastructure", "conditions": [ "develop network of safe dwellings for temporary relocation", "establish agreements with employers for job transfers or paid leave", "provide digital security training and tools" ] }, "applicability": "Protection Unit", "severity": "medium", "category": "Infrastructure", "source_ref": { "page": 60, "clause": "Section 70.3(c)", "text_snippet": "The Protection Unit shall: (i) Develop a network of safe dwellings..." } }, { "rule_id": "STD-2024-070.4a", "title": "Confidentiality Requirements", "rule_type": "obligation", "summary": "The Protection Unit must maintain strict confidentiality regarding protected persons' identity, protection measures, location, and protection status.", "core_obligation": { "actor": "Protection Unit", "action": "maintain strict confidentiality", "modality": "shall", "object": "confidential information", "conditions": [ "identity of protected persons", "nature and extent of protection measures", "location of protected persons", "fact of protection as such" ] }, "applicability": "Protection Unit and all staff", "severity": "critical", "category": "Confidentiality", "source_ref": { "page": 60, "clause": "Section 70.4(a)", "text_snippet": "The Protection Unit shall maintain strict confidentiality regarding..." } }, { "rule_id": "STD-2024-070.4a", "title": "Confidentiality Maintenance by Protection Unit", "rule_type": "obligation", "summary": "The Protection Unit must maintain strict confidentiality regarding protected persons' identity, protection measures, location, and the fact of protection itself.", "core_obligation": { "actor": "Protection Unit", "action": "maintain strict confidentiality", "modality": "shall", "object": "identity of protected persons, nature and extent of protection measures, location of protected persons, and the fact of protection", "conditions": [] }, "applicability": "Protection Unit managing whistleblower and witness protection programs.", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 60, "clause": "Section 70.4(a)", "text_snippet": "The Protection Unit shall maintain strict confidentiality regarding: (i) The identity of protected persons..." } }, { "rule_id": "STD-2024-070.4b", "title": "Staff Security Requirements", "rule_type": "obligation", "summary": "All Protection Program staff must sign NDAs, undergo background checks and security clearance, and receive information security training.", "core_obligation": { "actor": "Protection Program staff", "action": "comply with security requirements", "modality": "shall", "object": "security protocols", "conditions": [ "sign non-disclosure agreements", "undergo background checks and security clearance", "receive training on information security protocols" ] }, "applicability": "All staff involved in Protection Program", "severity": "critical", "category": "Personnel Security", "source_ref": { "page": 60, "clause": "Section 70.4(b)", "text_snippet": "All staff involved in the Protection Program shall..." } }, { "rule_id": "STD-2024-070.4b", "title": "Staff Confidentiality Requirements", "rule_type": "obligation", "summary": "All staff involved in the Protection Program must sign non-disclosure agreements, undergo background checks and security clearance, and receive training on information security protocols.", "core_obligation": { "actor": "Staff involved in Protection Program", "action": "sign non-disclosure agreements, undergo background checks and security clearance, receive training", "modality": "shall", "object": "non-disclosure agreements, background checks, security clearance, information security training", "conditions": [] }, "applicability": "All staff involved in the Protection Program.", "severity": "critical", "category": "Personnel Security", "source_ref": { "page": 60, "clause": "Section 70.4(b)", "text_snippet": "All staff involved in the Protection Program shall: (i) Sign non-disclosure agreements..." } }, { "rule_id": "STD-2024-070.4c", "title": "Sanctions for Confidentiality Breach", "rule_type": "sanction", "summary": "Breach of confidentiality by staff results in immediate dismissal and criminal prosecution.", "core_obligation": { "actor": "Competent Authority", "action": "impose sanctions for breach", "modality": "shall", "object": "staff breaching confidentiality", "conditions": [ "immediate dismissal from Protection Program", "criminal prosecution under applicable laws" ] }, "applicability": "Staff who breach confidentiality", "severity": "critical", "category": "Sanctions", "source_ref": [ { "page": 60, "clause": "Section 70.4(c)", "text_snippet": "Breach of confidentiality by staff shall be grounds for: (i) Immediate dismissal...", "_origin_rule_id": "STD-2024-070.4c" }, { "page": 60, "clause": "Section 70.4(c)", "text_snippet": "Breach of confidentiality by staff shall be grounds for: (i) Immediate dismissal from the Protection Program; (ii) Criminal prosecution...", "_origin_rule_id": "STD-2024-070.4c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.4d", "title": "Secure Information Management System", "rule_type": "obligation", "summary": "The Protection Unit must implement a secure information management system with encryption, access controls, and audit trails.", "core_obligation": { "actor": "Protection Unit", "action": "implement secure information system", "modality": "shall", "object": "information management system", "conditions": [ "end-to-end encryption for all communications", "strict access controls based on need-to-know principles", "audit trails for all access to protected information" ] }, "applicability": "Protection Unit", "severity": "critical", "category": "Information Security", "source_ref": [ { "page": 60, "clause": "Section 70.4(d)", "text_snippet": "The Protection Unit shall implement a secure information management system with...", "_origin_rule_id": "STD-2024-070.4d" }, { "page": 60, "clause": "Section 70.4(d)", "text_snippet": "The Protection Unit shall implement a secure information management system with: (i) End-to-end encryption...", "_origin_rule_id": "STD-2024-070.4d" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.5a", "title": "Duration of Protection Measures", "rule_type": "obligation", "summary": "Protection measures must remain in effect for the duration of proceedings, reasonable period thereafter based on risk, or until voluntary withdrawal.", "core_obligation": { "actor": "Protection Unit", "action": "maintain protection measures", "modality": "shall", "object": "protection measures", "conditions": [ "for duration of investigation or proceeding", "for reasonable period thereafter based on ongoing risk assessment", "until protected person voluntarily withdraws" ] }, "applicability": "Protection Unit managing protection duration", "severity": "high", "category": "Protection Duration", "source_ref": [ { "page": 60, "clause": "Section 70.5(a)", "text_snippet": "Protection measures shall remain in effect...", "_origin_rule_id": "STD-2024-070.5a" }, { "page": 60, "clause": "Section 70.5(a)", "text_snippet": "Protection measures shall remain in effect: (i) For the duration of the investigation or proceeding...", "_origin_rule_id": "STD-2024-070.5a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.5b", "title": "Grounds for Protection Termination", "rule_type": "power", "summary": "The Protection Unit may terminate protection if the person provides false information, fails to comply, engages in criminal activity, or waives protection.", "core_obligation": { "actor": "Protection Unit", "action": "terminate protection", "modality": "may", "object": "protection measures", "conditions": [ "protected person knowingly provides false or misleading information", "fails to comply with reasonable conditions", "engages in criminal activity while under protection", "waives protection in writing" ] }, "applicability": "Protection Unit with grounds for termination", "severity": "high", "category": "Protection Termination", "source_ref": [ { "page": 60, "clause": "Section 70.5(b)", "text_snippet": "The Protection Unit may terminate protection if the protected person...", "_origin_rule_id": "STD-2024-070.5b" }, { "page": 60, "clause": "Section 70.5(b)", "text_snippet": "The Protection Unit may terminate protection if the protected person: (i) Knowingly provides false or misleading information...", "_origin_rule_id": "STD-2024-070.5b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.5c", "title": "Pre-Termination Procedures", "rule_type": "obligation", "summary": "Before terminating protection, the Unit must provide written notice, allow 14 days for response/appeal, and conduct final risk assessment.", "core_obligation": { "actor": "Protection Unit", "action": "follow pre-termination procedures", "modality": "shall", "object": "termination process", "conditions": [ "provide written notice to protected person", "allow 14 days for person to respond or appeal", "conduct final risk assessment" ] }, "applicability": "Protection Unit terminating protection", "severity": "high", "category": "Due Process", "source_ref": [ { "page": 60, "clause": "Section 70.5(c)", "text_snippet": "Before termination, the Unit shall: (i) Provide written notice...", "_origin_rule_id": "STD-2024-070.5c" }, { "page": 60, "clause": "Section 70.5(c)", "text_snippet": "Before termination, the Unit shall: (i) Provide written notice to the protected person; (ii) Allow 14 days...", "_origin_rule_id": "STD-2024-070.5c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.5d", "title": "Ongoing Protection Management", "rule_type": "obligation", "summary": "The Protection Unit must conduct periodic risk assessments, develop exit strategies, and provide post-protection support services.", "core_obligation": { "actor": "Protection Unit", "action": "manage ongoing protection", "modality": "shall", "object": "protection lifecycle", "conditions": [ "conduct periodic risk assessments", "develop individualised exit strategies", "provide post-protection support services for specified period" ] }, "applicability": "Protection Unit", "severity": "medium", "category": "Protection Management", "source_ref": [ { "page": 60, "clause": "Section 70.5(d)", "text_snippet": "The Protection Unit shall: (i) Conduct periodic risk assessments...", "_origin_rule_id": "STD-2024-070.5d" }, { "page": 60, "clause": "Section 70.5(d)", "text_snippet": "The Protection Unit shall: (i) Conduct periodic risk assessments to determine the ongoing need for protection...", "_origin_rule_id": "STD-2024-070.5d" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.5e", "title": "Protection for Minors During Termination", "rule_type": "obligation", "summary": "When there are grounds for termination and minors are among protected persons, protection must continue to the extent needed for minors.", "core_obligation": { "actor": "Protection Unit", "action": "continue protection for minors", "modality": "shall", "object": "protection measures for minors", "conditions": [ "when grounds for protection termination exist", "if minors are among protected persons", "to extent needed for minors protection" ] }, "applicability": "Protection Unit when minors are involved", "severity": "critical", "category": "Child Protection", "source_ref": [ { "page": 60, "clause": "Section 70.5(e)", "text_snippet": "When there are grounds for protection termination and if there are minors among the protected persons...", "_origin_rule_id": "STD-2024-070.5e" }, { "page": 60, "clause": "Section 70.5(e)", "text_snippet": "When there are grounds for protection termination and if there are minors among the protected persons, the protection shall continue...", "_origin_rule_id": "STD-2024-070.5e" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.6a", "title": "Law Enforcement Cooperation Agreements", "rule_type": "obligation", "summary": "The Protection Unit must establish formal cooperation agreements with police, prosecutors, and security agencies.", "core_obligation": { "actor": "Protection Unit", "action": "establish cooperation agreements", "modality": "shall", "object": "formal cooperation agreements", "conditions": [ "with national and local police forces", "with public prosecutor's office", "with relevant security agencies" ] }, "applicability": "Protection Unit", "severity": "high", "category": "Inter-Agency Cooperation", "source_ref": [ { "page": 60, "clause": "Section 70.6(a)", "text_snippet": "The Protection Unit shall establish formal cooperation agreements with...", "_origin_rule_id": "STD-2024-070.6a" }, { "page": 60, "clause": "Section 70.6(a)", "text_snippet": "The Protection Unit shall establish formal cooperation agreements with: (i) National and local police forces...", "_origin_rule_id": "STD-2024-070.6a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.6b", "title": "Content of Cooperation Agreements", "rule_type": "obligation", "summary": "Cooperation agreements must cover procedures for assistance, information sharing protocols, risk assessment methodologies, and training initiatives.", "core_obligation": { "actor": "Protection Unit", "action": "include specified content in agreements", "modality": "shall", "object": "cooperation agreements", "conditions": [ "procedures for requesting law enforcement assistance", "information sharing protocols", "joint risk assessment methodologies", "training and capacity building initiatives" ] }, "applicability": "Protection Unit drafting cooperation agreements", "severity": "medium", "category": "Inter-Agency Cooperation", "source_ref": { "page": 60, "clause": "Section 70.6(b)", "text_snippet": "These agreements shall cover: (i) Procedures for requesting..." } }, { "rule_id": "STD-2024-070.6b", "title": "Content of Law Enforcement Agreements", "rule_type": "obligation", "summary": "Cooperation agreements with law enforcement must cover procedures for requesting assistance, information sharing protocols, joint risk assessment methodologies, and training initiatives.", "core_obligation": { "actor": "Protection Unit", "action": "include specified content in cooperation agreements", "modality": "shall", "object": "cooperation agreement provisions", "conditions": [ "procedures for requesting law enforcement assistance", "information sharing protocols", "joint risk assessment methodologies", "training and capacity building initiatives" ] }, "applicability": "Protection Unit establishing law enforcement agreements.", "severity": "medium", "category": "Inter-Agency Cooperation", "source_ref": { "page": 60, "clause": "Section 70.6(b)", "text_snippet": "These agreements shall cover: (i) Procedures for requesting law enforcement assistance..." } }, { "rule_id": "STD-2024-070.6c", "title": "Law Enforcement Coordination Activities", "rule_type": "obligation", "summary": "The Protection Unit must conduct joint training, establish secure information sharing protocols, and develop memoranda of understanding with law enforcement.", "core_obligation": { "actor": "Protection Unit", "action": "coordinate with law enforcement", "modality": "shall", "object": "coordination activities", "conditions": [ "conduct joint training exercises on witness protection", "establish secure protocols for information sharing", "develop memoranda of understanding to clarify roles and responsibilities" ] }, "applicability": "Protection Unit", "severity": "medium", "category": "Inter-Agency Coordination", "source_ref": [ { "page": 60, "clause": "Section 70.6(c)", "text_snippet": "The Protection Unit shall: (i) Conduct joint training exercises...", "_origin_rule_id": "STD-2024-070.6c" }, { "page": 60, "clause": "Section 70.6(c)", "text_snippet": "The Protection Unit shall: (i) Conduct joint training exercises with law enforcement agencies...", "_origin_rule_id": "STD-2024-070.6c" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.7a", "title": "International Cooperation Authority", "rule_type": "power", "summary": "The Competent Authority may enter into international agreements for relocation, best practice sharing, and mutual assistance in protection cases.", "core_obligation": { "actor": "Competent Authority", "action": "enter into international agreements", "modality": "may", "object": "international cooperation agreements", "conditions": [ "to relocate protected persons internationally when necessary", "to share best practices in whistleblower and witness protection", "to provide mutual assistance in protection cases" ] }, "applicability": "Competent Authority", "severity": "medium", "category": "International Cooperation", "source_ref": [ { "page": 60, "clause": "Section 70.7(a)", "text_snippet": "The Competent Authority may enter into agreements with foreign counterparts to...", "_origin_rule_id": "STD-2024-070.7a" }, { "page": 60, "clause": "Section 70.7(a)", "text_snippet": "The Competent Authority may enter into agreements with foreign counterparts to: (i) Relocate protected persons internationally...", "_origin_rule_id": "STD-2024-070.7a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-070.7b", "title": "International Agreement Requirements", "rule_type": "obligation", "summary": "International agreements must include provisions for cost sharing, transfer procedures, and ongoing monitoring of relocated persons.", "core_obligation": { "actor": "Competent Authority", "action": "include specified provisions", "modality": "shall", "object": "international agreements", "conditions": [ "cost sharing arrangements", "procedures for transferring protected persons", "ongoing monitoring and support of relocated persons" ] }, "applicability": "Competent Authority entering international agreements", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 60, "clause": "Section 70.7(b)", "text_snippet": "Such agreements shall include provisions for..." } }, { "rule_id": "STD-2024-070.7b", "title": "International Agreement Provisions", "rule_type": "obligation", "summary": "International cooperation agreements must include provisions for cost sharing arrangements, procedures for transferring protected persons, and ongoing monitoring and support of relocated persons.", "core_obligation": { "actor": "Competent Authority", "action": "include specified provisions in international agreements", "modality": "shall", "object": "international agreement provisions", "conditions": [ "cost sharing arrangements", "transfer procedures", "ongoing monitoring and support" ] }, "applicability": "Competent Authority establishing international agreements.", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 60, "clause": "Section 70.7(b)", "text_snippet": "Such agreements shall include provisions for: (i) Cost sharing arrangements..." } }, { "rule_id": "STD-2024-070.7c", "title": "International Network Participation", "rule_type": "obligation", "summary": "The Competent Authority must participate in international networks and forums on whistleblower and witness protection.", "core_obligation": { "actor": "Competent Authority", "action": "participate in international networks", "modality": "shall", "object": "international networks and forums", "conditions": [ "on whistleblower and witness protection" ] }, "applicability": "Competent Authority", "severity": "low", "category": "International Cooperation", "source_ref": { "page": 60, "clause": "Section 70.7(c)", "text_snippet": "The Competent Authority shall: (i) Participate in international networks and forums..." } }, { "rule_id": "STD-2024-070.7c", "title": "International Engagement Activities", "rule_type": "obligation", "summary": "The Competent Authority must participate in international networks on whistleblower protection, contribute to developing international standards, and establish a rapid response mechanism for urgent international relocations.", "core_obligation": { "actor": "Competent Authority", "action": "participate in international networks, contribute to standards, establish rapid response mechanism", "modality": "shall", "object": "international engagement activities", "conditions": [] }, "applicability": "Competent Authority engaging internationally on protection matters.", "severity": "medium", "category": "International Cooperation", "source_ref": { "page": 60, "clause": "Section 70.7(c)", "text_snippet": "The Competent Authority shall: (i) Participate in international networks and forums..." } }, { "rule_id": "STD-2024-070.8a", "title": "Remedies for Retaliation", "rule_type": "entitlement", "summary": "Protected persons who suffer retaliation are entitled to reinstatement, compensation for lost wages and benefits, damages for pain and suffering, and punitive damages against the retaliating party.", "core_obligation": { "actor": "Protected persons", "action": "receive remedies", "modality": "shall be entitled to", "object": "reinstatement, compensation, damages", "conditions": [ "who suffer retaliation" ] }, "applicability": "Protected persons who experience retaliation.", "severity": "high", "category": "Remedies", "source_ref": { "page": 60, "clause": "Section 70.8(a)", "text_snippet": "Protected persons who suffer retaliation shall be entitled to: (i) Reinstatement to their former position..." } }, { "rule_id": "STD-2024-070.8b", "title": "Competent Authority Support for Retaliation Cases", "rule_type": "obligation", "summary": "The Competent Authority must provide legal assistance to pursue retaliation remedies, establish an expedited process for hearing complaints, and have power to issue interim relief orders.", "core_obligation": { "actor": "Competent Authority", "action": "provide legal assistance, establish expedited process, issue interim relief orders", "modality": "shall", "object": "support mechanisms for retaliation cases", "conditions": [] }, "applicability": "Competent Authority handling retaliation cases.", "severity": "high", "category": "Remedies", "source_ref": { "page": 60, "clause": "Section 70.8(b)", "text_snippet": "The Competent Authority shall: (i) Provide legal assistance to pursue these remedies..." } }, { "rule_id": "STD-2024-070.8c", "title": "Retaliation Case Infrastructure", "rule_type": "obligation", "summary": "The Competent Authority must establish a specialized tribunal or court division for whistleblower retaliation cases, provide free legal representation, and implement a system of administrative fines for employers who retaliate.", "core_obligation": { "actor": "Competent Authority", "action": "establish specialized tribunal, provide free legal representation, implement fine system", "modality": "shall", "object": "retaliation case infrastructure", "conditions": [] }, "applicability": "Competent Authority establishing retaliation case mechanisms.", "severity": "high", "category": "Institutional Framework", "source_ref": { "page": 60, "clause": "Section 70.8(c)", "text_snippet": "The Competent Authority shall: (i) Establish a specialised tribunal or court division..." } }, { "rule_id": "STD-2024-070.9a", "title": "Annual Reporting to Parliament", "rule_type": "obligation", "summary": "The Protection Unit must submit annual reports to Parliament including the number of persons protected, types of protection measures, case outcomes, and program costs.", "core_obligation": { "actor": "Protection Unit", "action": "submit annual reports", "modality": "shall", "object": "annual reports to Parliament", "conditions": [ "including number of persons protected", "types of protection measures", "case outcomes", "program costs" ] }, "applicability": "Protection Unit reporting to Parliament.", "severity": "medium", "category": "Reporting", "source_ref": { "page": 60, "clause": "Section 70.9(a)", "text_snippet": "The Protection Unit shall submit annual reports to the Parliament, including: (i) The number of persons protected..." } }, { "rule_id": "STD-2024-070.9b", "title": "Independent Oversight Committee Functions", "rule_type": "obligation", "summary": "An independent oversight committee must review the Protection Program operations annually, assess effectiveness of protection measures, recommend improvements, and investigate complaints.", "core_obligation": { "actor": "Independent oversight committee", "action": "review operations, assess effectiveness, recommend improvements, investigate complaints", "modality": "shall", "object": "oversight activities", "conditions": [ "annually" ] }, "applicability": "Independent oversight committee overseeing the Protection Program.", "severity": "medium", "category": "Oversight", "source_ref": { "page": 60, "clause": "Section 70.9(b)", "text_snippet": "An independent oversight committee shall: (i) Review the operations of the Protection Program annually..." } }, { "rule_id": "STD-2024-070.9c", "title": "Oversight Committee Powers", "rule_type": "power", "summary": "The independent oversight committee has power to conduct unannounced inspections of the Protection Unit, review all denial or termination cases, and publish an annual public report with recommendations.", "core_obligation": { "actor": "Independent oversight committee", "action": "conduct inspections, review cases, publish report", "modality": "shall have the power", "object": "oversight powers and reporting", "conditions": [ "unannounced inspections", "review of all denial/termination cases", "annual public report" ] }, "applicability": "Independent oversight committee exercising oversight powers.", "severity": "medium", "category": "Oversight", "source_ref": { "page": 60, "clause": "Section 70.9(c)", "text_snippet": "The independent oversight committee shall: (i) Have the power to conduct unannounced inspections..." } }, { "rule_id": "STD-2024-071", "title": "Supervisory Activities Calendar Maintenance", "rule_type": "obligation", "summary": "The RCC must maintain a calendar of planned supervisory activities across all authorities to facilitate coordination.", "core_obligation": { "actor": "RCC", "action": "maintain calendar", "modality": "shall", "object": "planned supervisory activities across all authorities", "conditions": [ "to facilitate coordination" ] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "medium", "category": "Coordination", "source_ref": { "page": 43, "clause": "Section 61.4(b)", "text_snippet": "The RCC shall maintain a calendar of planned supervisory activities across all authorities to facilitate coordination" } }, { "rule_id": "STD-2024-071", "title": "Establishment of Alternative Dispute Resolution Mechanism", "rule_type": "obligation", "summary": "The Competent Authority must establish an ADR mechanism for resolving disputes between regulated entities and the Authority, between different regulated entities, and between regulated entities and consumers.", "core_obligation": { "actor": "Competent Authority", "action": "establish an Alternative Dispute Resolution (ADR) mechanism", "modality": "shall", "object": "ADR mechanism for dispute resolution", "conditions": [ "for disputes between regulated entities and the Authority", "for disputes between different regulated entities", "for disputes between regulated entities and consumers" ] }, "applicability": "The Competent Authority responsible for regulatory oversight.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 66, "clause": "Section 72(a)", "text_snippet": "The Competent Authority shall establish an Alternative Dispute Resolution (ADR) mechanism for resolving disputes between..." } }, { "rule_id": "STD-2024-071", "title": "Public Register of Civil Penalties", "rule_type": "obligation", "summary": "The Competent Authority must maintain a public register of all civil penalties imposed, including violator details, violation nature, penalty amount, imposition date, and payment/appeal status.", "core_obligation": { "actor": "Competent Authority", "action": "maintain a public register", "modality": "shall", "object": "public register of civil penalties imposed", "conditions": [ "must include name of violator", "must include nature of violation", "must include penalty amount", "must include date of imposition", "must include status of payment or appeal" ] }, "applicability": "Competent Authority responsible for civil penalty enforcement", "severity": "high", "category": "Transparency and Reporting", "source_ref": { "page": 87, "clause": "Section 7.1", "text_snippet": "The Competent Authority shall maintain a public register of civil penalties imposed, including: (i) The name of the violator; (ii) The nature of the violation; (iii) The penalty amount; (iv) The date of imposition; and (v) The status of payment or appeal." } }, { "rule_id": "STD-2024-071.1", "title": "Establishment of Independent Regulatory Appeals Tribunal", "rule_type": "obligation", "summary": "An independent Regulatory Appeals Tribunal must be established to hear appeals against decisions of the Competent Authority, with specified composition and governance requirements.", "core_obligation": { "actor": "Relevant Authority", "action": "establish and maintain independent Regulatory Appeals Tribunal", "modality": "shall", "object": "Regulatory Appeals Tribunal with specified composition", "conditions": [ "Tribunal must be independent", "Must include qualified Chairperson (judge or lawyer)", "Must include at least four expert members", "Must have secretariat for administrative support", "Members appointed for terms of [X] years, renewable once", "Members removable only for misconduct or incapacity after independent inquiry" ] }, "applicability": "Applies to the regulatory framework establishing the appeals mechanism.", "severity": "critical", "category": "Governance", "source_ref": { "page": 64, "clause": "Section 71.1", "text_snippet": "An independent Regulatory Appeals Tribunal (the Tribunal) is hereby established to hear appeals against decisions of the Competent Authority." } }, { "rule_id": "STD-2024-071.2", "title": "Jurisdiction of the Regulatory Appeals Tribunal", "rule_type": "definition", "summary": "The Tribunal has jurisdiction to hear appeals against licensing decisions, enforcement actions, penalties, data protection decisions, and other specified appealable decisions.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "have jurisdiction to hear appeals", "modality": "shall", "object": "appeals against specified categories of decisions", "conditions": [ "Licensing decisions (refusals, suspensions, revocations)", "Enforcement actions and penalties", "Data protection matters under Section 74", "Other decisions specified in regulations as appealable" ] }, "applicability": "Defines the scope of matters the Tribunal can adjudicate.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.2", "text_snippet": "The Tribunal shall have jurisdiction to hear appeals against: (a) Licensing decisions..." } }, { "rule_id": "STD-2024-071.3a", "title": "Right to Appeal - Time Limit", "rule_type": "obligation", "summary": "Any person aggrieved by a decision of the Competent Authority must file an appeal within 30 days of the decision.", "core_obligation": { "actor": "Aggrieved person", "action": "file appeal within specified timeframe", "modality": "may (with time constraint)", "object": "appeal to Regulatory Appeals Tribunal", "conditions": [ "Within 30 days of the decision", "Person must be aggrieved by the decision" ] }, "applicability": "Applies to any person affected by decisions of the Competent Authority.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.3(a)", "text_snippet": "Any person aggrieved by a decision of the Competent Authority may appeal to the [Regulatory Appeals Tribunal] within [30] days of the decision." } }, { "rule_id": "STD-2024-071.3b", "title": "Scope of Appealable Decisions", "rule_type": "definition", "summary": "Appealable decisions include refusal, suspension, or revocation of licenses; imposition of penalties; orders to cease operations; and decisions on whistleblower protection.", "core_obligation": { "actor": "Competent Authority", "action": "decisions subject to appeal", "modality": "definition", "object": "specified categories of decisions", "conditions": [ "Refusal, suspension, or revocation of licenses or authorisations", "Imposition of administrative, civil, financial and other penalties", "Orders to cease operations or recall products", "Decisions on whistleblower protection or rewards" ] }, "applicability": "Defines which decisions of the Competent Authority can be appealed.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.3(b)", "text_snippet": "Appealable decisions include, but are not limited to: (i) Refusal, suspension, or revocation of licenses..." } }, { "rule_id": "STD-2024-071.3c", "title": "Effect of Appeal on Original Decision", "rule_type": "obligation", "summary": "Filing an appeal does not automatically suspend the effect of the Competent Authority's decision unless the Tribunal orders otherwise.", "core_obligation": { "actor": "Appellant", "action": "comply with original decision pending appeal", "modality": "shall (negative - no automatic suspension)", "object": "decision of Competent Authority", "conditions": [ "Appeal does not suspend effect of decision", "Unless Tribunal orders suspension" ] }, "applicability": "Applies to all appeals filed with the Tribunal.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.3(c)", "text_snippet": "The appeal shall not suspend the effect of the decision unless the Tribunal orders otherwise." } }, { "rule_id": "STD-2024-071.4a", "title": "Powers of the Tribunal - Decision-Making Authority", "rule_type": "power", "summary": "The Tribunal has the power to affirm, vary, or set aside decisions of the Competent Authority, remit matters for reconsideration, substitute its own decision, or issue interim orders.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "exercise decision-making powers", "modality": "may", "object": "decisions and orders in appeals", "conditions": [ "May affirm, vary, or set aside Authority's decision", "May remit matter for reconsideration", "May substitute its own decision", "May issue interim orders to preserve status quo or prevent irreparable harm" ] }, "applicability": "Defines the Tribunal's powers when adjudicating appeals.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.4(a)", "text_snippet": "The Tribunal may: (i) Affirm, vary, or set aside the decision of the Competent Authority..." } }, { "rule_id": "STD-2024-071.4b", "title": "Powers of the Tribunal - Procedural Powers", "rule_type": "power", "summary": "The Tribunal has the same powers as a civil court for summoning witnesses, requiring document production, receiving evidence on affidavits, and issuing commissions.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "exercise civil court powers", "modality": "shall", "object": "procedural and evidentiary matters", "conditions": [ "Summoning and enforcing attendance of witnesses", "Requiring discovery and production of documents", "Receiving evidence on affidavits", "Issuing commissions for examination of witnesses or documents" ] }, "applicability": "Applies to all proceedings before the Tribunal.", "severity": "medium", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.4(b)", "text_snippet": "The Tribunal shall have the same powers as a civil court in respect of: (i) Summoning and enforcing attendance of witnesses..." } }, { "rule_id": "STD-2024-071.5-IR-a", "title": "Power to Grant Interim Relief", "rule_type": "power", "summary": "The Tribunal may grant interim relief pending final determination of an appeal, including stay of decisions, temporary license continuation, or other measures to preserve status quo or prevent irreparable harm.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "grant interim relief", "modality": "may", "object": "interim orders and measures", "conditions": [ "Pending final determination of appeal", "May include stay of Competent Authority's decision", "May include temporary continuation of suspended license", "May include any measure to preserve status quo or prevent irreparable harm" ] }, "applicability": "Applies when appellants seek interim relief during appeal proceedings.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.5 (Interim Relief)(a)", "text_snippet": "The Tribunal may grant interim relief pending the final determination of an appeal, including: (i) Stay of the Competent Authority's decision..." } }, { "rule_id": "STD-2024-071.5-IR-b", "title": "Criteria for Granting Interim Relief", "rule_type": "obligation", "summary": "In deciding on interim relief, the Tribunal must consider the likelihood of success on merits, balance of convenience, and public interest considerations.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "consider specified criteria when deciding interim relief", "modality": "shall", "object": "interim relief applications", "conditions": [ "Must consider likelihood of success on merits", "Must consider balance of convenience between parties", "Must consider public interest considerations" ] }, "applicability": "Applies to all interim relief applications before the Tribunal.", "severity": "medium", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.5 (Interim Relief)(b)", "text_snippet": "In deciding on interim relief, the Tribunal shall consider: (i) The likelihood of success on the merits of the appeal..." } }, { "rule_id": "STD-2024-071.6a", "title": "Right to Bring Class Actions", "rule_type": "power", "summary": "Multiple persons affected by the same decision or action of the Competent Authority may bring a class action before the Regulatory Appeals Tribunal.", "core_obligation": { "actor": "Multiple affected persons", "action": "bring class action", "modality": "may", "object": "class action before Tribunal", "conditions": [ "Multiple persons affected by same decision or action", "Decision or action by Competent Authority" ] }, "applicability": "Applies when multiple persons are similarly affected by regulatory decisions.", "severity": "medium", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.6(a)", "text_snippet": "Where multiple persons are affected by the same decision or action of the Competent Authority, they may bring a class action before the Regulatory Appeals Tribunal." } }, { "rule_id": "STD-2024-071.6c", "title": "Class Action Procedures", "rule_type": "obligation", "summary": "The Tribunal must establish procedures for notifying potential class members, opting in or out of the class, and distributing damages or remedies awarded.", "core_obligation": { "actor": "Regulatory Appeals Tribunal", "action": "establish class action procedures", "modality": "shall", "object": "procedural framework for class actions", "conditions": [ "Procedures for notifying potential class members", "Procedures for opting in or out of class", "Procedures for distributing damages or remedies" ] }, "applicability": "Applies to all certified class actions before the Tribunal.", "severity": "medium", "category": "Dispute Resolution", "source_ref": { "page": 64, "clause": "Section 71.6(c)", "text_snippet": "The Tribunal shall establish procedures for: (i) Notifying potential class members; (ii) Opting in or out of the class..." } }, { "rule_id": "STD-2024-072", "title": "Lead Supervisor Designation", "rule_type": "obligation", "summary": "For entities subject to multiple regulatory regimes, authorities must designate a lead supervisor to coordinate interactions and avoid duplication.", "core_obligation": { "actor": "Authorities", "action": "designate a lead supervisor", "modality": "shall", "object": "lead supervisor for multi-regime entities", "conditions": [ "to coordinate interactions", "avoid duplication" ] }, "applicability": "Entities subject to multiple regulatory regimes.", "severity": "high", "category": "Coordination", "source_ref": { "page": 43, "clause": "Section 61.4(c)", "text_snippet": "authorities shall designate a lead supervisor to coordinate interactions and avoid duplication" } }, { "rule_id": "STD-2024-072", "title": "ADR Mechanism Components", "rule_type": "power", "summary": "The ADR mechanism may include mediation by neutral third parties, expert determination for technical disputes, and early neutral evaluation to encourage settlements.", "core_obligation": { "actor": "Competent Authority", "action": "include various dispute resolution methods in ADR mechanism", "modality": "may", "object": "mediation, expert determination, early neutral evaluation", "conditions": [ "mediation by neutral third parties", "expert determination for technical disputes", "early neutral evaluation to encourage settlements" ] }, "applicability": "The Competent Authority when designing the ADR mechanism.", "severity": "medium", "category": "Dispute Resolution", "source_ref": { "page": 66, "clause": "Section 72(b)", "text_snippet": "This ADR mechanism may include: (i) Mediation by neutral third parties; (ii) Expert determination for technical disputes; (iii) Early neutral evaluation..." } }, { "rule_id": "STD-2024-072", "title": "Annual Report on Civil Penalties", "rule_type": "obligation", "summary": "The Competent Authority must publish an annual report on civil penalties containing statistics, compliance trend analysis, settlement procedure information, and recommendations for regime improvement.", "core_obligation": { "actor": "Competent Authority", "action": "publish an annual report", "modality": "shall", "object": "annual report on civil penalties", "conditions": [ "must include statistics on penalties imposed and collected", "must include analysis of trends in compliance and enforcement", "must include information on use of settlement procedures", "must include recommendations for improving the civil penalty regime" ] }, "applicability": "Competent Authority responsible for civil penalty enforcement", "severity": "medium", "category": "Transparency and Reporting", "source_ref": { "page": 87, "clause": "Section 7.2", "text_snippet": "The Competent Authority shall publish an annual report on civil penalties, including: (i) Statistics on penalties imposed and collected; (ii) Analysis of trends in compliance and enforcement; (iii) Information on the use of settlement procedures; and (iv) Recommendations for improving the civil penalty regime." } }, { "rule_id": "STD-2024-073", "title": "ADR Participation Characteristics", "rule_type": "obligation", "summary": "Participation in ADR must be voluntary (unless made mandatory by specific regulations), without prejudice to the right of appeal to the Tribunal, and confidential with inadmissibility of ADR communications in subsequent proceedings.", "core_obligation": { "actor": "Parties to ADR (regulated entities, consumers, Authority)", "action": "participate in ADR under specified conditions", "modality": "shall be", "object": "ADR participation", "conditions": [ "voluntary, unless made mandatory by specific regulations", "without prejudice to the right of appeal to the Tribunal", "confidential", "admissions or proposals made during ADR not admissible in subsequent proceedings" ] }, "applicability": "All parties participating in ADR proceedings under this mechanism.", "severity": "medium", "category": "Procedural Rights", "source_ref": { "page": 66, "clause": "Section 72(c)", "text_snippet": "Participation in ADR shall be: (i) Voluntary, unless made mandatory by specific regulations; (ii) Without prejudice to the right of appeal to the Tribunal; (iii) Confidential..." } }, { "rule_id": "STD-2024-073.1", "title": "Mandatory Interpretation Principles", "rule_type": "obligation", "summary": "This Act must be interpreted to promote its purposes, ensure consistency with international best practices, and uphold rights and protections.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "interpret the Act", "modality": "shall", "object": "provisions of this Act", "conditions": [ "in a manner that promotes purposes and principles in Section 1", "ensures consistency with international best practices", "upholds rights and protections granted to individuals and entities" ] }, "applicability": "All interpretations of the Act by courts and regulatory authorities.", "severity": "high", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.1(a)", "text_snippet": "This Act shall be interpreted in a manner that: (i) Promotes its purposes and principles..." } }, { "rule_id": "STD-2024-073.10A", "title": "Power to Issue Interpretative Statements", "rule_type": "power", "summary": "The Competent Authority may issue formal interpretative statements to clarify ambiguities and provide guidance on novel situations.", "core_obligation": { "actor": "Competent Authority", "action": "issue formal interpretative statements", "modality": "may", "object": "ambiguities in Act or implementing regulations", "conditions": [ "to clarify ambiguities", "to provide guidance on application to novel situations", "to ensure consistent interpretation across regulated entities" ] }, "applicability": "Ambiguous provisions or novel situations requiring clarification.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.10(a)", "text_snippet": "The Competent Authority may issue formal interpretative statements to: (i) Clarify ambiguities..." } }, { "rule_id": "STD-2024-073.10B", "title": "Publication and Binding Effect of Interpretative Statements", "rule_type": "obligation", "summary": "Interpretative statements shall be published on the Authority's website, be binding on the Authority, and considered persuasive by courts.", "core_obligation": { "actor": "Competent Authority", "action": "publish interpretative statements and be bound by them", "modality": "shall", "object": "interpretative statements", "conditions": [ "be published on Authority's website", "be binding on Authority until formally revised or revoked", "be considered by courts as persuasive though not binding authority" ] }, "applicability": "All interpretative statements issued by the Competent Authority.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 67, "clause": "Section 73.10(b)", "text_snippet": "Such interpretative statements shall: (i) Be published on the Authority's website; and (ii) Be binding on the Authority..." } }, { "rule_id": "STD-2024-073.1B", "title": "Public Interest Interpretation Preference", "rule_type": "obligation", "summary": "When provisions are ambiguous, the interpretation serving public interest shall be preferred.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "prefer interpretation that serves public interest", "modality": "shall", "object": "ambiguous provisions", "conditions": [ "where any provision is ambiguous" ] }, "applicability": "All cases involving ambiguous provisions of the Act.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.1(b)", "text_snippet": "Where any provision of this Act is ambiguous, the interpretation that best serves the public interest shall be preferred." } }, { "rule_id": "STD-2024-073.2A", "title": "Definition Reference Requirement", "rule_type": "obligation", "summary": "Terms used in the Act shall have meanings assigned in the Definitions section unless context requires otherwise.", "core_obligation": { "actor": "All interpreters", "action": "apply defined meanings to terms", "modality": "shall", "object": "terms used in this Act", "conditions": [ "unless the context otherwise requires" ] }, "applicability": "All interpretations of terms in the Act.", "severity": "low", "category": "Definitions", "source_ref": { "page": 67, "clause": "Section 73.2(a)", "text_snippet": "Unless the context otherwise requires, terms used in this Act shall have the meanings assigned to them in Section [X]" } }, { "rule_id": "STD-2024-073.3A", "title": "Conflict Resolution Hierarchy", "rule_type": "obligation", "summary": "In case of conflict with other laws, this Act shall prevail to the extent of inconsistency, unless the other law explicitly states otherwise.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "apply this Act in preference to conflicting laws", "modality": "shall", "object": "provisions of this Act", "conditions": [ "in case of conflict with any other law", "to the extent of the inconsistency", "unless the other law explicitly states otherwise", "both laws shall be interpreted to give effect to both where possible" ] }, "applicability": "All conflicts between this Act and other laws.", "severity": "high", "category": "Conflict Resolution", "source_ref": { "page": 67, "clause": "Section 73.3(a)", "text_snippet": "In case of conflict between this Act and any other law: (i) The provisions of this Act shall prevail to the extent of the inconsistency..." } }, { "rule_id": "STD-2024-073.3B", "title": "Constitutional and Treaty Supremacy", "rule_type": "limitation", "summary": "This Act shall not limit constitutional rights or supersede international treaties unless explicitly stated.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "not construe Act as limiting constitutional rights or superseding treaties", "modality": "shall not", "object": "provisions of this Act", "conditions": [ "unless explicitly stated in the Act" ] }, "applicability": "All interpretations involving constitutional rights or international treaties.", "severity": "critical", "category": "Constitutional Compliance", "source_ref": { "page": 67, "clause": "Section 73.3(b)", "text_snippet": "Nothing in this Act shall be construed as: (i) Limiting any rights or protections granted under the Constitution; (ii) Superseding international treaties..." } }, { "rule_id": "STD-2024-073.4A", "title": "Internal Consistency Interpretation", "rule_type": "obligation", "summary": "The Act's provisions shall be interpreted as a coherent whole, with specific provisions prevailing over general ones.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "interpret provisions as coherent whole", "modality": "shall", "object": "parts, sections, and provisions of this Act", "conditions": [ "where contradictions exist, more specific provisions prevail over general ones", "later provisions prevail over earlier ones unless clearly intended otherwise" ] }, "applicability": "All interpretations of the Act.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.4", "text_snippet": "The various parts, sections, and provisions of this Act shall be interpreted as a coherent whole." } }, { "rule_id": "STD-2024-073.5", "title": "Use of Explanatory Materials", "rule_type": "power", "summary": "Reference may be made to explanatory memoranda, parliamentary reports, and international standards to resolve ambiguities.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "refer to explanatory materials", "modality": "may", "object": "explanatory memoranda, parliamentary reports, international standards", "conditions": [ "to resolve ambiguities", "to confirm or determine meaning when text is unclear", "to identify the mischief the Act was intended to remedy" ] }, "applicability": "Interpretation of ambiguous or unclear provisions.", "severity": "low", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.5", "text_snippet": "In interpreting this Act, reference may be made to: (i) Explanatory memoranda... (ii) Reports of parliamentary committees..." } }, { "rule_id": "STD-2024-073.6", "title": "Technological Neutrality Principle", "rule_type": "obligation", "summary": "Provisions shall be interpreted in a technologically neutral manner, with references to specific technologies including equivalent future technologies.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "interpret and apply provisions in technologically neutral manner", "modality": "shall", "object": "provisions of this Act", "conditions": [ "to the extent possible", "references to specific technologies include equivalent future technologies", "include technological processes achieving same regulatory objectives" ] }, "applicability": "All provisions referencing technology or technological processes.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.6", "text_snippet": "The provisions of this Act shall be interpreted and applied in a technologically neutral manner..." } }, { "rule_id": "STD-2024-073.7", "title": "Purposive Interpretation Requirement", "rule_type": "obligation", "summary": "In case of ambiguity, provisions shall be interpreted to achieve regulatory objectives, promote innovation, and protect consumer rights.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "interpret provisions purposively", "modality": "shall", "object": "provisions of this Act", "conditions": [ "in case of ambiguity", "to best achieve regulatory objectives", "to promote innovation and development", "to protect rights and interests of consumers and public" ] }, "applicability": "All ambiguous provisions of the Act.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 67, "clause": "Section 73.7", "text_snippet": "In case of ambiguity, the provisions of this Act shall be interpreted in a manner that: (i) Best achieves the regulatory objectives..." } }, { "rule_id": "STD-2024-073.8", "title": "Regulatory Objective Conflict Resolution", "rule_type": "obligation", "summary": "When regulatory objectives conflict, the Authority and courts shall balance competing objectives, provide reasoned explanations, and consult stakeholders.", "core_obligation": { "actor": "Competent Authority and courts", "action": "balance competing regulatory objectives", "modality": "shall", "object": "conflicting regulatory objectives", "conditions": [ "where conflicts arise between different regulatory objectives", "in manner that best serves overall public interest", "provide reasoned explanation for chosen approach", "consult with affected stakeholders before final determination" ] }, "applicability": "All cases involving conflicts between regulatory objectives.", "severity": "high", "category": "Conflict Resolution", "source_ref": { "page": 67, "clause": "Section 73.8", "text_snippet": "Where conflicts arise between different regulatory objectives of this Act, the Competent Authority and the courts shall: (i) Seek to balance..." } }, { "rule_id": "STD-2024-073.9", "title": "International Obligations Consistency", "rule_type": "obligation", "summary": "The Act shall be interpreted consistently with international obligations including trade agreements, conventions, and global standards.", "core_obligation": { "actor": "Courts and Competent Authority", "action": "interpret Act consistently with international obligations", "modality": "shall", "object": "provisions of this Act", "conditions": [ "where possible", "including bilateral and multilateral trade agreements", "including international conventions on regulatory cooperation", "including global standards and best practices" ] }, "applicability": "All interpretations of the Act.", "severity": "high", "category": "International Compliance", "source_ref": { "page": 67, "clause": "Section 73.9", "text_snippet": "This Act shall be interpreted, where possible, in a manner consistent with [Country]'s international obligations..." } }, { "rule_id": "STD-2024-074", "title": "Regulatory Impact Assessment Requirement", "rule_type": "obligation", "summary": "All authorities must conduct regulatory impact assessments (RIAs) for significant new regulations or changes to existing regulations.", "core_obligation": { "actor": "All authorities", "action": "conduct regulatory impact assessments", "modality": "shall", "object": "significant new regulations or changes to existing regulations", "conditions": [] }, "applicability": "All supervisory authorities proposing significant regulatory changes.", "severity": "high", "category": "Regulatory Process", "source_ref": { "page": 43, "clause": "Section 61.5(a)(i)", "text_snippet": "Conduct regulatory impact assessments (RIAs) for significant new regulations or changes to existing regulations" } }, { "rule_id": "STD-2024-074", "title": "Binding Nature of Mediation Agreements", "rule_type": "obligation", "summary": "Agreements reached through mediation are binding on the parties and enforceable in court.", "core_obligation": { "actor": "Parties to mediation", "action": "comply with mediation agreements", "modality": "shall be binding", "object": "agreements reached through mediation", "conditions": [ "enforceable in court" ] }, "applicability": "All parties who reach agreements through the ADR mediation process.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 66, "clause": "Section 72(d)", "text_snippet": "Agreements reached through mediation shall be binding on the parties and enforceable in court." } }, { "rule_id": "STD-2024-074.1", "title": "Scope of Data Protection Requirements", "rule_type": "obligation", "summary": "Data protection requirements apply to all personal data collected, processed, or stored by the Competent Authority, regulated entities, and third parties acting on their behalf.", "core_obligation": { "actor": "Competent Authority, regulated entities, and third parties", "action": "apply data protection requirements to personal data handling", "modality": "applies to", "object": "personal data collected, processed, or stored", "conditions": [ "covers activities regulated by this Act" ] }, "applicability": "All entities handling personal data within the regulatory framework", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.1", "text_snippet": "This section applies to all personal data collected, processed, or stored by..." } }, { "rule_id": "STD-2024-074.2a", "title": "Data Protection Principles Compliance", "rule_type": "obligation", "summary": "All entities handling personal data must adhere to six core data protection principles: lawfulness, purpose limitation, data minimisation, accuracy, storage limitation, and integrity/confidentiality.", "core_obligation": { "actor": "All entities handling personal data", "action": "adhere to data protection principles", "modality": "shall", "object": "six data protection principles", "conditions": [ "lawfulness, fairness, and transparency", "purpose limitation for specified purposes", "data minimisation to necessary data only", "accuracy with rectification of inaccurate data", "storage limitation to necessary period", "integrity and confidentiality with security measures" ] }, "applicability": "All entities processing personal data", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.2(a)", "text_snippet": "All entities handling personal data shall adhere to the following principles..." } }, { "rule_id": "STD-2024-074.2b", "title": "Authority Guidelines on Data Protection Principles", "rule_type": "obligation", "summary": "The Competent Authority must issue detailed guidelines on the application of data protection principles.", "core_obligation": { "actor": "Competent Authority", "action": "issue detailed guidelines", "modality": "shall", "object": "guidelines on application of data protection principles", "conditions": [] }, "applicability": "Competent Authority", "severity": "medium", "category": "Regulatory Guidance", "source_ref": { "page": 68, "clause": "Section 74.2(b)", "text_snippet": "The Competent Authority shall issue detailed guidelines on the application of these principles." } }, { "rule_id": "STD-2024-074.3a", "title": "Legal Basis Requirement for Data Processing", "rule_type": "obligation", "summary": "Personal data may only be processed if at least one of six legal bases applies: consent, contract performance, legal obligation, vital interests, public interest, or legitimate interests.", "core_obligation": { "actor": "Data processors", "action": "process personal data only with legal basis", "modality": "may only", "object": "personal data", "conditions": [ "data subject consent for specific purposes", "necessary for contract performance", "necessary for legal compliance", "necessary to protect vital interests", "necessary for public interest task", "necessary for legitimate interests (unless overridden by data subject rights)" ] }, "applicability": "All entities processing personal data", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.3(a)", "text_snippet": "Personal data may only be processed if at least one of the following applies..." } }, { "rule_id": "STD-2024-074.3b", "title": "Sensitive Data Additional Safeguards", "rule_type": "obligation", "summary": "Processing of sensitive personal data requires additional safeguards and explicit consent from data subjects.", "core_obligation": { "actor": "Data processors", "action": "apply additional safeguards and obtain explicit consent", "modality": "shall be required", "object": "sensitive personal data", "conditions": [ "for sensitive personal data processing" ] }, "applicability": "Entities processing sensitive personal data", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.3(b)", "text_snippet": "For sensitive personal data, additional safeguards and explicit consent shall be required." } }, { "rule_id": "STD-2024-074.4a", "title": "Data Subject Rights Entitlement", "rule_type": "obligation", "summary": "Data subjects have eight fundamental rights including information, access, rectification, erasure, restriction, portability, objection, and rights related to automated decision-making.", "core_obligation": { "actor": "Data subjects", "action": "have specified rights", "modality": "shall have", "object": "eight data protection rights", "conditions": [ "right to be informed", "right of access", "right to rectification", "right to erasure", "right to restrict processing", "right to data portability", "right to object", "rights related to automated decision making" ] }, "applicability": "All data subjects whose personal data is processed", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.4(a)", "text_snippet": "Data subjects shall have the following rights..." } }, { "rule_id": "STD-2024-074.4b", "title": "Rights Exercise Procedures Establishment", "rule_type": "obligation", "summary": "The Competent Authority and regulated entities must establish procedures enabling data subjects to exercise their rights.", "core_obligation": { "actor": "Competent Authority and regulated entities", "action": "establish procedures for exercising data subject rights", "modality": "shall", "object": "procedures for data subjects to exercise rights", "conditions": [] }, "applicability": "Competent Authority and all regulated entities", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.4(b)", "text_snippet": "The Competent Authority and regulated entities shall establish procedures for data subjects to exercise these rights." } }, { "rule_id": "STD-2024-074.5a", "title": "Data Protection Impact Assessment Requirement", "rule_type": "obligation", "summary": "The Competent Authority and regulated entities must conduct data protection impact assessments for high-risk processing activities including systematic profiling, large-scale sensitive data processing, and systematic public monitoring.", "core_obligation": { "actor": "Competent Authority and regulated entities", "action": "conduct data protection impact assessments", "modality": "shall conduct", "object": "data protection impact assessments", "conditions": [ "for high-risk processing activities", "systematic and extensive profiling with significant effects", "large scale processing of sensitive data", "large scale systematic monitoring of public areas" ] }, "applicability": "Entities conducting high-risk data processing", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.5(a)", "text_snippet": "The Competent Authority and regulated entities shall conduct data protection impact assessments for high-risk processing activities..." } }, { "rule_id": "STD-2024-074.5b", "title": "DPIA Content Requirements", "rule_type": "obligation", "summary": "Data protection impact assessments must include systematic description of processing, necessity and proportionality assessment, risk assessment, and risk mitigation measures.", "core_obligation": { "actor": "Entities conducting DPIAs", "action": "include specified content in assessments", "modality": "shall include", "object": "DPIA content elements", "conditions": [ "systematic description of processing operations", "assessment of necessity and proportionality", "assessment of risks to data subject rights", "measures to address risks" ] }, "applicability": "Entities required to conduct DPIAs", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.5(b)", "text_snippet": "These assessments shall include..." } }, { "rule_id": "STD-2024-074.6a-i", "title": "Data Breach Notification to Authority", "rule_type": "obligation", "summary": "Controllers must notify the Competent Authority within 72 hours of becoming aware of a personal data breach.", "core_obligation": { "actor": "Controller", "action": "notify Competent Authority of data breach", "modality": "shall", "object": "personal data breach notification", "conditions": [ "within 72 hours of becoming aware of breach" ] }, "applicability": "All data controllers experiencing breaches", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.6(a)(i)", "text_snippet": "Notify the Competent Authority within 72 hours of becoming aware of the breach" } }, { "rule_id": "STD-2024-074.6a-ii", "title": "Data Breach Notification to Data Subjects", "rule_type": "obligation", "summary": "Controllers must notify affected data subjects without undue delay if the breach is likely to result in high risk to their rights and freedoms.", "core_obligation": { "actor": "Controller", "action": "notify affected data subjects of breach", "modality": "shall", "object": "data breach notification to individuals", "conditions": [ "without undue delay", "if breach likely to result in high risk to rights and freedoms" ] }, "applicability": "Controllers experiencing high-risk breaches", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.6(a)(ii)", "text_snippet": "Notify affected data subjects without undue delay if the breach is likely to result in high risk..." } }, { "rule_id": "STD-2024-074.6b", "title": "Data Breach Notification Content Requirements", "rule_type": "obligation", "summary": "Data breach notifications must include the nature of the breach, likely consequences, measures taken to address it, and contact details for further information.", "core_obligation": { "actor": "Controller", "action": "include specified information in breach notification", "modality": "shall include", "object": "breach notification content", "conditions": [ "nature of breach and data categories affected", "likely consequences", "measures taken or proposed", "contact details for further information" ] }, "applicability": "Controllers providing breach notifications", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.6(b)", "text_snippet": "The notification shall include..." } }, { "rule_id": "STD-2024-074.7a", "title": "Data Protection Officer Designation Requirement", "rule_type": "obligation", "summary": "The Competent Authority and regulated entities must designate a Data Protection Officer if they are a public authority, conduct large-scale systematic monitoring, or process large-scale sensitive data.", "core_obligation": { "actor": "Competent Authority and regulated entities", "action": "designate a Data Protection Officer", "modality": "shall designate", "object": "Data Protection Officer", "conditions": [ "if public authority or body", "if conducting large scale systematic monitoring", "if processing large scale sensitive personal data" ] }, "applicability": "Public authorities and entities meeting specified criteria", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.7(a)", "text_snippet": "The Competent Authority and regulated entities shall designate a Data Protection Officer if they..." } }, { "rule_id": "STD-2024-074.7b", "title": "Data Protection Officer Responsibilities", "rule_type": "obligation", "summary": "The Data Protection Officer must inform and advise on obligations, monitor compliance, provide DPIA advice, cooperate with supervisory authority, and act as contact point.", "core_obligation": { "actor": "Data Protection Officer", "action": "perform specified duties", "modality": "shall", "object": "DPO responsibilities", "conditions": [ "inform and advise on data protection obligations", "monitor compliance with laws and policies", "provide advice on DPIAs", "cooperate with supervisory authority", "act as contact point for data subjects and authority" ] }, "applicability": "All designated Data Protection Officers", "severity": "high", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.7(b)", "text_snippet": "The Data Protection Officer shall..." } }, { "rule_id": "STD-2024-074.8a", "title": "International Data Transfer Conditions", "rule_type": "obligation", "summary": "Transfers of personal data to third countries or international organisations may only occur if adequate protection is ensured, appropriate safeguards are in place, or specific derogations apply.", "core_obligation": { "actor": "Data transferors", "action": "transfer data internationally only under specified conditions", "modality": "may only take place if", "object": "international personal data transfers", "conditions": [ "recipient ensures adequate level of protection", "appropriate safeguards in place (binding corporate rules, standard contractual clauses)", "specific derogations apply (explicit consent, contract necessity)" ] }, "applicability": "All entities transferring personal data internationally", "severity": "critical", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.8(a)", "text_snippet": "Transfers of personal data to third countries or international organisations may only take place if..." } }, { "rule_id": "STD-2024-074.8b", "title": "Adequate Protection List Maintenance", "rule_type": "obligation", "summary": "The Competent Authority must maintain a list of countries and organisations providing adequate data protection.", "core_obligation": { "actor": "Competent Authority", "action": "maintain list of adequate protection jurisdictions", "modality": "shall maintain", "object": "list of countries and organisations with adequate protection", "conditions": [] }, "applicability": "Competent Authority", "severity": "medium", "category": "Data Protection", "source_ref": { "page": 68, "clause": "Section 74.8(b)", "text_snippet": "The Competent Authority shall maintain a list of countries and organisations providing adequate protection." } }, { "rule_id": "STD-2024-074.9a", "title": "Data Protection Enforcement Powers", "rule_type": "power", "summary": "The Competent Authority has the power to issue warnings, impose processing bans, order data rectification/erasure, and impose administrative fines for data protection violations.", "core_obligation": { "actor": "Competent Authority", "action": "exercise enforcement powers", "modality": "shall have the power to", "object": "enforcement actions", "conditions": [ "issue warnings and reprimands", "impose temporary or permanent bans on processing", "order rectification, restriction, or erasure of data", "impose administrative fines" ] }, "applicability": "Competent Authority", "severity": "high", "category": "Enforcement", "source_ref": { "page": 68, "clause": "Section 74.9(a)", "text_snippet": "The Competent Authority shall have the power to..." } }, { "rule_id": "STD-2024-074.9b", "title": "Administrative Fines for Data Protection Violations", "rule_type": "sanction", "summary": "Administrative fines for serious data protection infringements may be up to the higher of a specified percentage of annual global turnover or a specified monetary amount.", "core_obligation": { "actor": "Competent Authority", "action": "impose administrative fines", "modality": "may be", "object": "administrative fines", "conditions": [ "for serious infringements", "up to higher of [X]% of annual global turnover or [Y] amount" ] }, "applicability": "Entities committing serious data protection violations", "severity": "critical", "category": "Sanctions", "source_ref": { "page": 68, "clause": "Section 74.9(b)", "text_snippet": "Administrative fines for serious infringements may be up to the higher of: (i) [X]% of annual global turnover; or (ii) [Y] amount." } }, { "rule_id": "STD-2024-075", "title": "Cross-Authority Impact Assessment in RIAs", "rule_type": "obligation", "summary": "Authorities must include in RIAs an assessment of impact on areas regulated by other authorities.", "core_obligation": { "actor": "All authorities", "action": "include cross-authority impact assessment", "modality": "shall", "object": "RIAs", "conditions": [ "assessment of impact on areas regulated by other authorities" ] }, "applicability": "All authorities conducting RIAs.", "severity": "high", "category": "Regulatory Process", "source_ref": { "page": 43, "clause": "Section 61.5(a)(ii)", "text_snippet": "Include in RIAs an assessment of impact on areas regulated by other authorities" } }, { "rule_id": "STD-2024-075.1", "title": "Public Register of Regulated Entities", "rule_type": "obligation", "summary": "The Competent Authority must maintain a publicly accessible register of all regulated entities containing specified information, updated within 5 working days of any changes.", "core_obligation": { "actor": "Competent Authority", "action": "maintain and publish a public register of regulated entities", "modality": "shall", "object": "public register containing entity details, authorizations, conditions, and enforcement actions", "conditions": [ "freely accessible on Authority's website", "updated within 5 working days of any changes", "searchable by entity name, activity type, and location" ] }, "applicability": "Competent Authority responsible for regulatory oversight", "severity": "high", "category": "Transparency", "source_ref": { "page": 70, "clause": "Section 75.1", "text_snippet": "The Competent Authority shall maintain a public register of all regulated entities..." } }, { "rule_id": "STD-2024-075.2", "title": "Disclosure of Regulatory Decisions", "rule_type": "obligation", "summary": "The Competent Authority must publish all significant regulatory decisions, guidelines, enforcement actions, and complaint data within 30 days, with appropriate redactions for confidential information.", "core_obligation": { "actor": "Competent Authority", "action": "publish regulatory decisions and related information", "modality": "shall", "object": "regulatory decisions, guidelines, enforcement actions, penalties, and aggregate complaint data", "conditions": [ "redact confidential business information and personal data", "publish within 30 days of decision or action", "available on Authority's website for at least 5 years" ] }, "applicability": "Competent Authority in all regulatory decision-making", "severity": "high", "category": "Transparency", "source_ref": { "page": 70, "clause": "Section 75.2", "text_snippet": "The Competent Authority shall publish: (i) All significant regulatory decisions..." } }, { "rule_id": "STD-2024-075.3", "title": "Annual Reporting by Regulated Entities", "rule_type": "obligation", "summary": "All regulated entities must submit comprehensive annual reports to the Competent Authority within 4 months of financial year-end, including audited financials, compliance statements, and operational changes.", "core_obligation": { "actor": "Regulated entities", "action": "submit annual reports", "modality": "shall", "object": "annual reports containing audited financial statements, compliance statement, operational changes, complaints summary, and environmental/social impact", "conditions": [ "submitted within 4 months of end of financial year", "in standardized format prescribed by Authority", "accompanied by required supporting documents" ] }, "applicability": "All regulated entities under the Authority's jurisdiction", "severity": "high", "category": "Compliance", "source_ref": { "page": 70, "clause": "Section 75.3", "text_snippet": "All regulated entities shall submit annual reports to the Competent Authority..." } }, { "rule_id": "STD-2024-075.4", "title": "Disclosure of Ownership and Control", "rule_type": "obligation", "summary": "Regulated entities must disclose their ownership structure, ultimate beneficial owners, and persons with significant control, updating within 30 days of changes and verifying annually.", "core_obligation": { "actor": "Regulated entities", "action": "disclose ownership and control information", "modality": "shall", "object": "ownership structure, ultimate beneficial owners, persons with significant control, and group structure", "conditions": [ "updated within 30 days of any changes", "verified annually as part of compliance statement", "made available to public subject to personal information protection" ] }, "applicability": "All regulated entities, particularly relevant for corporate structures", "severity": "high", "category": "Transparency", "source_ref": { "page": 70, "clause": "Section 75.4", "text_snippet": "Regulated entities shall disclose: (i) Their property structure and ultimate beneficial owners..." } }, { "rule_id": "STD-2024-075.5", "title": "Incident Reporting", "rule_type": "obligation", "summary": "Regulated entities must report significant operational incidents within 24 hours, data breaches, and events affecting regulatory compliance, including detailed information on nature, impact, and remediation.", "core_obligation": { "actor": "Regulated entities", "action": "report incidents to Competent Authority", "modality": "shall", "object": "significant operational incidents, data breaches, and events impacting regulatory obligations", "conditions": [ "significant operational incidents within 24 hours", "report must include nature, cause, impact, mitigation measures, and prevention steps" ] }, "applicability": "All regulated entities experiencing reportable incidents", "severity": "critical", "category": "Compliance", "source_ref": { "page": 70, "clause": "Section 75.5", "text_snippet": "Regulated entities shall report to the Competent Authority: (i) Any significant operational incidents within [24] hours..." } }, { "rule_id": "STD-2024-075.6", "title": "Public Consultations", "rule_type": "obligation", "summary": "The Competent Authority must conduct public consultations on proposed regulations and significant matters, allowing at least 60 days for input and publishing submissions and responses.", "core_obligation": { "actor": "Competent Authority", "action": "conduct public consultations", "modality": "shall", "object": "proposed new regulations, significant changes, strategic plans, and matters of public interest", "conditions": [ "allow at least 60 days for public input", "publish all submissions received unless confidentiality requested", "provide summary of submissions and response to significant issues" ] }, "applicability": "Competent Authority when developing or changing regulations", "severity": "medium", "category": "Procedural Fairness", "source_ref": { "page": 70, "clause": "Section 75.6", "text_snippet": "The Competent Authority shall conduct public consultations on: (i) Proposed new regulations..." } }, { "rule_id": "STD-2024-075.7", "title": "Performance Reporting by Competent Authority", "rule_type": "obligation", "summary": "The Competent Authority must publish an annual report on its activities, financial performance, and strategic priorities within 6 months of financial year-end, submit to Parliament, and present at a public meeting.", "core_obligation": { "actor": "Competent Authority", "action": "publish annual performance report", "modality": "shall", "object": "annual report including regulatory activities, financial statements, performance indicators, challenges, and strategic priorities", "conditions": [ "submitted to Parliament within 6 months of end of financial year", "made publicly available on Authority's website", "presented at annual public meeting for stakeholder questions" ] }, "applicability": "Competent Authority for accountability and transparency", "severity": "high", "category": "Accountability", "source_ref": { "page": 70, "clause": "Section 75.7", "text_snippet": "The Competent Authority shall publish an annual report including: (i) Overview of regulatory activities..." } }, { "rule_id": "STD-2024-075.8", "title": "Information Accessibility Standards", "rule_type": "obligation", "summary": "The Competent Authority must ensure all public disclosures are in plain language, available in official languages, accessible to persons with disabilities, and maintain a public information office for assistance.", "core_obligation": { "actor": "Competent Authority", "action": "ensure accessibility of all public information", "modality": "shall", "object": "all public disclosures and reports", "conditions": [ "in plain language avoiding technical jargon", "available in official language(s) of the country", "accessible to persons with disabilities", "machine-readable where appropriate", "maintain public information office for requests and assistance" ] }, "applicability": "Competent Authority for all public-facing information", "severity": "medium", "category": "Accessibility", "source_ref": { "page": 70, "clause": "Section 75.8", "text_snippet": "All public disclosures and reports shall be: (i) In plain language..." } }, { "rule_id": "STD-2024-076", "title": "RIA Submission to RCC", "rule_type": "obligation", "summary": "Authorities must submit draft RIAs to the RCC for review and comment before finalisation.", "core_obligation": { "actor": "All authorities", "action": "submit draft RIAs", "modality": "shall", "object": "draft RIAs", "conditions": [ "to the RCC for review and comment", "before finalisation" ] }, "applicability": "All authorities conducting RIAs.", "severity": "high", "category": "Regulatory Process", "source_ref": { "page": 43, "clause": "Section 61.5(a)(iii)", "text_snippet": "Submit draft RIAs to the RCC for review and comment before finalisation" } }, { "rule_id": "STD-2024-076.1a", "title": "Definition of Emergency", "rule_type": "definition", "summary": "Defines an emergency as a situation posing immediate risk to health, life, property, or environment; requiring urgent intervention; or threatening critical regulated services.", "core_obligation": { "actor": "N/A (Definition)", "action": "N/A", "modality": "definition", "object": "emergency", "conditions": [ "immediate risk to health, life, property, or environment", "requires urgent intervention to prevent worsening", "threatens integrity or continuity of critical regulated services" ] }, "applicability": "All provisions under this Act relating to emergencies.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.1(a)", "text_snippet": "For the purposes of this Act, an emergency is defined as: (i) A situation that poses an immediate risk..." } }, { "rule_id": "STD-2024-076.1b", "title": "Authority to Declare Emergency", "rule_type": "power", "summary": "The Competent Authority may declare an emergency when normal procedures are insufficient, immediate action is required, or the event exceeds routine capacity.", "core_obligation": { "actor": "Competent Authority", "action": "declare an emergency", "modality": "may", "object": "emergency declaration", "conditions": [ "normal regulatory procedures are insufficient", "immediate action required to protect public interest", "scale or nature exceeds routine capacity of regulated entities" ] }, "applicability": "Competent Authority in circumstances meeting emergency criteria.", "severity": "critical", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.1(b)", "text_snippet": "The Competent Authority may declare an emergency when: (i) Normal regulatory procedures are insufficient..." } }, { "rule_id": "STD-2024-076.2a", "title": "Emergency Powers of Competent Authority", "rule_type": "power", "summary": "During a declared emergency, the Competent Authority may issue binding directives, suspend requirements, require immediate reporting, reallocate resources, or assume direct control of critical functions.", "core_obligation": { "actor": "Competent Authority", "action": "exercise emergency powers", "modality": "may", "object": "emergency directives and controls", "conditions": [ "during a declared emergency" ] }, "applicability": "Competent Authority during declared emergencies.", "severity": "critical", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.2(a)", "text_snippet": "During a declared emergency, the Competent Authority may: (i) Issue binding directives..." } }, { "rule_id": "STD-2024-076.2b", "title": "Proportionality and Limits on Emergency Powers", "rule_type": "obligation", "summary": "Emergency powers shall be proportionate to the emergency, limited in duration to the emergency period, and subject to ongoing review and justification.", "core_obligation": { "actor": "Competent Authority", "action": "exercise emergency powers proportionately", "modality": "shall", "object": "emergency powers", "conditions": [ "proportionate to nature and scale of emergency", "limited in duration to period of emergency", "subject to ongoing review and justification" ] }, "applicability": "Competent Authority when exercising emergency powers.", "severity": "critical", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.2(b)", "text_snippet": "These powers shall be: (i) Proportionate to the nature and scale of the emergency..." } }, { "rule_id": "STD-2024-076.3.1", "title": "Emergency Response Plan Annual Review", "rule_type": "obligation", "summary": "The Emergency Response Plan must be reviewed and updated annually.", "core_obligation": { "actor": "Competent Authority", "action": "review and update Emergency Response Plan", "modality": "shall", "object": "Emergency Response Plan", "conditions": [ "annually" ] }, "applicability": "Competent Authority responsible for emergency management.", "severity": "medium", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.3(b)(i)", "text_snippet": "This plan shall be: (i) Reviewed and updated annually" } }, { "rule_id": "STD-2024-076.3.2", "title": "Emergency Response Plan Testing", "rule_type": "obligation", "summary": "The Emergency Response Plan must be tested through regular simulation exercises.", "core_obligation": { "actor": "Competent Authority", "action": "test Emergency Response Plan through simulation exercises", "modality": "shall", "object": "Emergency Response Plan", "conditions": [ "regular simulation exercises" ] }, "applicability": "Competent Authority responsible for emergency management.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.3(b)(ii)", "text_snippet": "Tested through regular simulation exercises" } }, { "rule_id": "STD-2024-076.3.3", "title": "Emergency Response Plan Public Availability", "rule_type": "obligation", "summary": "The Emergency Response Plan must be made publicly available, subject to necessary security redactions.", "core_obligation": { "actor": "Competent Authority", "action": "make publicly available", "modality": "shall", "object": "Emergency Response Plan", "conditions": [ "subject to necessary security redactions" ] }, "applicability": "Competent Authority responsible for emergency management.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 72, "clause": "Section 76.3(b)(iii)", "text_snippet": "Made publicly available, subject to necessary security redactions" } }, { "rule_id": "STD-2024-076.3a", "title": "Emergency Response Plan Maintenance", "rule_type": "obligation", "summary": "The Competent Authority shall maintain an Emergency Response Plan including chain of command, assessment protocols, activation procedures, communication strategies, and coordination mechanisms.", "core_obligation": { "actor": "Competent Authority", "action": "maintain Emergency Response Plan", "modality": "shall", "object": "Emergency Response Plan", "conditions": [ "includes clear chain of command", "includes rapid assessment protocols", "includes activation procedures", "includes communication strategies", "includes coordination mechanisms with other agencies" ] }, "applicability": "Competent Authority at all times.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.3(a)", "text_snippet": "The Competent Authority shall maintain an Emergency Response Plan, which includes..." } }, { "rule_id": "STD-2024-076.3b", "title": "Emergency Plan Review and Publication", "rule_type": "obligation", "summary": "The Emergency Response Plan shall be reviewed and updated annually, tested through regular simulation exercises, and made publicly available subject to security redactions.", "core_obligation": { "actor": "Competent Authority", "action": "review, test, and publish Emergency Response Plan", "modality": "shall", "object": "Emergency Response Plan", "conditions": [ "reviewed and updated annually", "tested through regular simulation exercises", "made publicly available with necessary security redactions" ] }, "applicability": "Competent Authority for Emergency Response Plan management.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.3(b)", "text_snippet": "This plan shall be: (i) Reviewed and updated annually; (ii) Tested through regular simulation exercises..." } }, { "rule_id": "STD-2024-076.4.1", "title": "Regulated Entities Emergency Response Plans", "rule_type": "obligation", "summary": "All regulated entities must develop and maintain their own emergency response plans.", "core_obligation": { "actor": "Regulated entities", "action": "develop and maintain emergency response plans", "modality": "shall", "object": "emergency response plans", "conditions": [] }, "applicability": "All regulated entities under the regulatory framework.", "severity": "high", "category": "Emergency Preparedness", "source_ref": { "page": 72, "clause": "Section 76.4(a)(i)", "text_snippet": "All regulated entities shall: (i) Develop and maintain their own emergency response plans" } }, { "rule_id": "STD-2024-076.4.2", "title": "Emergency Drills and Staff Training", "rule_type": "obligation", "summary": "Regulated entities must conduct regular emergency drills and staff training.", "core_obligation": { "actor": "Regulated entities", "action": "conduct emergency drills and staff training", "modality": "shall", "object": "emergency drills and staff training", "conditions": [ "regular" ] }, "applicability": "All regulated entities under the regulatory framework.", "severity": "high", "category": "Emergency Preparedness", "source_ref": { "page": 72, "clause": "Section 76.4(a)(ii)", "text_snippet": "Conduct regular emergency drills and staff training" } }, { "rule_id": "STD-2024-076.4.3", "title": "Emergency Communication Protocols", "rule_type": "obligation", "summary": "Regulated entities must establish clear internal and external communication protocols for emergencies.", "core_obligation": { "actor": "Regulated entities", "action": "establish communication protocols", "modality": "shall", "object": "internal and external communication protocols", "conditions": [ "for emergencies" ] }, "applicability": "All regulated entities under the regulatory framework.", "severity": "high", "category": "Emergency Preparedness", "source_ref": { "page": 72, "clause": "Section 76.4(a)(iii)", "text_snippet": "Establish clear internal and external communication protocols for emergencies" } }, { "rule_id": "STD-2024-076.4.4", "title": "Emergency Reserves and Backup Systems", "rule_type": "obligation", "summary": "Regulated entities must maintain emergency reserves or backup systems as required by regulations.", "core_obligation": { "actor": "Regulated entities", "action": "maintain emergency reserves or backup systems", "modality": "shall", "object": "emergency reserves or backup systems", "conditions": [ "as required by regulations" ] }, "applicability": "All regulated entities under the regulatory framework.", "severity": "high", "category": "Emergency Preparedness", "source_ref": { "page": 72, "clause": "Section 76.4(a)(iv)", "text_snippet": "Maintain emergency reserves or backup systems as required by regulations" } }, { "rule_id": "STD-2024-076.4.5", "title": "Immediate Implementation of Emergency Plans", "rule_type": "obligation", "summary": "During a declared emergency, regulated entities must implement their emergency response plans immediately.", "core_obligation": { "actor": "Regulated entities", "action": "implement emergency response plans", "modality": "must", "object": "emergency response plans", "conditions": [ "during a declared emergency", "immediately" ] }, "applicability": "All regulated entities during declared emergencies.", "severity": "critical", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.4(b)(i)", "text_snippet": "During a declared emergency, regulated entities must: (i) Implement their emergency response plans immediately" } }, { "rule_id": "STD-2024-076.4.6", "title": "Compliance with Emergency Directives", "rule_type": "obligation", "summary": "During a declared emergency, regulated entities must comply with all directives issued by the Competent Authority.", "core_obligation": { "actor": "Regulated entities", "action": "comply with directives", "modality": "must", "object": "all directives issued by the Competent Authority", "conditions": [ "during a declared emergency" ] }, "applicability": "All regulated entities during declared emergencies.", "severity": "critical", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.4(b)(ii)", "text_snippet": "Comply with all directives issued by the Competent Authority" } }, { "rule_id": "STD-2024-076.4.7", "title": "Real-Time Emergency Updates", "rule_type": "obligation", "summary": "During a declared emergency, regulated entities must provide real-time updates to the Authority on their situation and actions.", "core_obligation": { "actor": "Regulated entities", "action": "provide real-time updates", "modality": "must", "object": "updates on situation and actions", "conditions": [ "during a declared emergency", "to the Authority", "real-time" ] }, "applicability": "All regulated entities during declared emergencies.", "severity": "critical", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.4(b)(iii)", "text_snippet": "Provide real-time updates to the Authority on their situation and actions" } }, { "rule_id": "STD-2024-076.4a", "title": "Entity Emergency Preparedness Requirements", "rule_type": "obligation", "summary": "All regulated entities shall develop emergency response plans, conduct regular drills and training, establish communication protocols, and maintain emergency reserves or backup systems.", "core_obligation": { "actor": "All regulated entities", "action": "maintain emergency preparedness", "modality": "shall", "object": "emergency preparedness measures", "conditions": [ "develop and maintain emergency response plans", "conduct regular emergency drills and staff training", "establish clear communication protocols", "maintain emergency reserves or backup systems as required" ] }, "applicability": "All regulated entities under this Act.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.4(a)", "text_snippet": "All regulated entities shall: (i) Develop and maintain their own emergency response plans..." } }, { "rule_id": "STD-2024-076.4b", "title": "Entity Emergency Response Obligations", "rule_type": "obligation", "summary": "During a declared emergency, regulated entities must immediately implement emergency plans, comply with all Authority directives, and provide real-time updates on their situation and actions.", "core_obligation": { "actor": "Regulated entities", "action": "implement emergency response and comply with directives", "modality": "must", "object": "emergency response actions", "conditions": [ "during a declared emergency", "implement emergency response plans immediately", "comply with all directives from Competent Authority", "provide real-time updates to Authority" ] }, "applicability": "All regulated entities during declared emergencies.", "severity": "critical", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.4(b)", "text_snippet": "During a declared emergency, regulated entities must: (i) Implement their emergency response plans immediately..." } }, { "rule_id": "STD-2024-076.5.1", "title": "Emergency Response Fund Establishment", "rule_type": "obligation", "summary": "An Emergency Response Fund shall be established to provide immediate financial resources during emergencies.", "core_obligation": { "actor": "Competent Authority", "action": "establish Emergency Response Fund", "modality": "shall", "object": "Emergency Response Fund", "conditions": [ "to provide immediate financial resources during emergencies", "to cover costs of emergency measures", "to offer temporary financial support to critical regulated entities" ] }, "applicability": "Competent Authority responsible for emergency management.", "severity": "high", "category": "Emergency Funding", "source_ref": [ { "page": 72, "clause": "Section 76.5(a)", "text_snippet": "An Emergency Response Fund shall be established to: (i) Provide immediate financial resources during emergencies", "_origin_rule_id": "STD-2024-076.5.1" }, { "page": 72, "clause": "Section 76.5(a)", "text_snippet": "An Emergency Response Fund shall be established to: (i) Provide immediate financial resources...", "_origin_rule_id": "STD-2024-076.5a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-076.5.2", "title": "Emergency Fund Minimum Balance", "rule_type": "obligation", "summary": "The Emergency Response Fund must be maintained at a minimum balance of [X] amount.", "core_obligation": { "actor": "Competent Authority", "action": "maintain minimum balance", "modality": "shall", "object": "Emergency Response Fund", "conditions": [ "at a minimum balance of [X] amount" ] }, "applicability": "Competent Authority responsible for emergency funding.", "severity": "high", "category": "Emergency Funding", "source_ref": { "page": 72, "clause": "Section 76.5(b)(i)", "text_snippet": "Maintained at a minimum balance of [X] amount" } }, { "rule_id": "STD-2024-076.5.3", "title": "Emergency Fund Replenishment", "rule_type": "obligation", "summary": "The Emergency Response Fund shall be replenished through a levy on regulated entities.", "core_obligation": { "actor": "Competent Authority", "action": "replenish fund through levy", "modality": "shall", "object": "Emergency Response Fund", "conditions": [ "through a levy on regulated entities" ] }, "applicability": "Competent Authority and all regulated entities.", "severity": "high", "category": "Emergency Funding", "source_ref": { "page": 72, "clause": "Section 76.5(b)(ii)", "text_snippet": "Replenished through a levy on regulated entities" } }, { "rule_id": "STD-2024-076.5.4", "title": "Emergency Fund Accounting and Auditing", "rule_type": "obligation", "summary": "The Emergency Response Fund shall be subject to strict accounting and auditing procedures.", "core_obligation": { "actor": "Competent Authority", "action": "subject fund to accounting and auditing procedures", "modality": "shall", "object": "Emergency Response Fund", "conditions": [ "strict accounting and auditing procedures" ] }, "applicability": "Competent Authority responsible for emergency funding.", "severity": "high", "category": "Financial Compliance", "source_ref": { "page": 72, "clause": "Section 76.5(b)(iii)", "text_snippet": "Subject to strict accounting and auditing procedures" } }, { "rule_id": "STD-2024-076.5b", "title": "Emergency Fund Management Requirements", "rule_type": "obligation", "summary": "The Emergency Response Fund shall be maintained at a minimum balance, replenished through a levy on regulated entities, and subject to strict accounting and auditing procedures.", "core_obligation": { "actor": "Competent Authority", "action": "manage Emergency Response Fund", "modality": "shall", "object": "Emergency Response Fund", "conditions": [ "maintained at minimum balance of [X] amount", "replenished through levy on regulated entities", "subject to strict accounting and auditing procedures" ] }, "applicability": "Competent Authority for fund management.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.5(b)", "text_snippet": "This fund shall be: (i) Maintained at a minimum balance of [X] amount..." } }, { "rule_id": "STD-2024-076.6.1", "title": "Emergency Coordination Center", "rule_type": "obligation", "summary": "During an emergency, the Competent Authority must establish an Emergency Coordination Center.", "core_obligation": { "actor": "Competent Authority", "action": "establish Emergency Coordination Center", "modality": "shall", "object": "Emergency Coordination Center", "conditions": [ "during an emergency" ] }, "applicability": "Competent Authority during declared emergencies.", "severity": "critical", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.6(a)(i)", "text_snippet": "During an emergency, the Competent Authority shall: (i) Establish an Emergency Coordination Center" } }, { "rule_id": "STD-2024-076.6.2", "title": "Inter-Agency Liaison During Emergency", "rule_type": "obligation", "summary": "During an emergency, the Competent Authority must liaise with other relevant government agencies and emergency services.", "core_obligation": { "actor": "Competent Authority", "action": "liaise with agencies and emergency services", "modality": "shall", "object": "other relevant government agencies and emergency services", "conditions": [ "during an emergency" ] }, "applicability": "Competent Authority during declared emergencies.", "severity": "critical", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.6(a)(ii)", "text_snippet": "Liaise with other relevant government agencies and emergency services" } }, { "rule_id": "STD-2024-076.6.3", "title": "Regular Public Updates During Emergency", "rule_type": "obligation", "summary": "During an emergency, the Competent Authority must provide regular public updates through multiple channels.", "core_obligation": { "actor": "Competent Authority", "action": "provide public updates", "modality": "shall", "object": "public updates", "conditions": [ "during an emergency", "regular", "through multiple channels" ] }, "applicability": "Competent Authority during declared emergencies.", "severity": "high", "category": "Emergency Communication", "source_ref": { "page": 72, "clause": "Section 76.6(a)(iii)", "text_snippet": "Provide regular public updates through multiple channels" } }, { "rule_id": "STD-2024-076.6.4", "title": "24/7 Emergency Hotline", "rule_type": "obligation", "summary": "During an emergency, the Competent Authority must operate a 24/7 hotline for emergency-related inquiries.", "core_obligation": { "actor": "Competent Authority", "action": "operate hotline", "modality": "shall", "object": "24/7 hotline for emergency-related inquiries", "conditions": [ "during an emergency", "24/7" ] }, "applicability": "Competent Authority during declared emergencies.", "severity": "high", "category": "Emergency Communication", "source_ref": { "page": 72, "clause": "Section 76.6(a)(iv)", "text_snippet": "Operate a 24/7 hotline for emergency-related inquiries" } }, { "rule_id": "STD-2024-076.6.5", "title": "Emergency Contact Persons Designation", "rule_type": "obligation", "summary": "Regulated entities must designate emergency contact persons available 24/7.", "core_obligation": { "actor": "Regulated entities", "action": "designate emergency contact persons", "modality": "shall", "object": "emergency contact persons", "conditions": [ "available 24/7" ] }, "applicability": "All regulated entities under the regulatory framework.", "severity": "high", "category": "Emergency Preparedness", "source_ref": { "page": 72, "clause": "Section 76.6(b)(i)", "text_snippet": "Designate emergency contact persons available 24/7" } }, { "rule_id": "STD-2024-076.6.6", "title": "Participation in Joint Emergency Response Teams", "rule_type": "obligation", "summary": "Regulated entities must participate in joint emergency response teams if required.", "core_obligation": { "actor": "Regulated entities", "action": "participate in joint emergency response teams", "modality": "shall", "object": "joint emergency response teams", "conditions": [ "if required" ] }, "applicability": "Regulated entities when required by the Competent Authority.", "severity": "high", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.6(b)(ii)", "text_snippet": "Participate in joint emergency response teams if required" } }, { "rule_id": "STD-2024-076.6.7", "title": "Emergency Data and Resource Sharing", "rule_type": "obligation", "summary": "Regulated entities must share relevant data and resources to address the emergency.", "core_obligation": { "actor": "Regulated entities", "action": "share data and resources", "modality": "shall", "object": "relevant data and resources", "conditions": [ "to address the emergency" ] }, "applicability": "All regulated entities during declared emergencies.", "severity": "critical", "category": "Emergency Response", "source_ref": { "page": 72, "clause": "Section 76.6(b)(iii)", "text_snippet": "Share relevant data and resources to address the emergency" } }, { "rule_id": "STD-2024-076.6a", "title": "Emergency Information Sharing and Coordination", "rule_type": "obligation", "summary": "During an emergency, the Competent Authority shall establish an Emergency Coordination Center and liaise with other relevant government agencies.", "core_obligation": { "actor": "Competent Authority", "action": "establish coordination mechanisms", "modality": "shall", "object": "Emergency Coordination Center and inter-agency liaison", "conditions": [ "during an emergency" ] }, "applicability": "Competent Authority during emergencies.", "severity": "high", "category": "Emergency Management", "source_ref": { "page": 72, "clause": "Section 76.6(a)", "text_snippet": "During an emergency, the Competent Authority shall: (i) Establish an Emergency Coordination Center; (ii) Liaise with other relevant government agencies..." } }, { "rule_id": "STD-2024-076.7.1", "title": "Post-Emergency Comprehensive Review", "rule_type": "obligation", "summary": "Within 30 days of the end of an emergency, the Competent Authority must conduct a comprehensive review of the emergency response.", "core_obligation": { "actor": "Competent Authority", "action": "conduct comprehensive review", "modality": "shall", "object": "emergency response", "conditions": [ "within 30 days of the end of an emergency" ] }, "applicability": "Competent Authority after declared emergencies.", "severity": "medium", "category": "Post-Emergency Review", "source_ref": { "page": 72, "clause": "Section 76.7(a)(i)", "text_snippet": "Within [30] days of the end of an emergency, the Competent Authority shall: (i) Conduct a comprehensive review of the emergency response" } }, { "rule_id": "STD-2024-076.7.2", "title": "Lessons Learned Identification", "rule_type": "obligation", "summary": "The Competent Authority must identify lessons learned and areas for improvement from the emergency response.", "core_obligation": { "actor": "Competent Authority", "action": "identify lessons learned and areas for improvement", "modality": "shall", "object": "lessons learned and areas for improvement", "conditions": [ "within 30 days of the end of an emergency" ] }, "applicability": "Competent Authority after declared emergencies.", "severity": "medium", "category": "Post-Emergency Review", "source_ref": { "page": 72, "clause": "Section 76.7(a)(ii)", "text_snippet": "Identify lessons learned and areas for improvement" } }, { "rule_id": "STD-2024-076.7.3", "title": "Emergency Procedures Update", "rule_type": "obligation", "summary": "The Competent Authority must update emergency procedures based on the review findings.", "core_obligation": { "actor": "Competent Authority", "action": "update emergency procedures", "modality": "shall", "object": "emergency procedures", "conditions": [ "based on the review findings" ] }, "applicability": "Competent Authority after declared emergencies.", "severity": "medium", "category": "Post-Emergency Review", "source_ref": { "page": 72, "clause": "Section 76.7(a)(iii)", "text_snippet": "Update emergency procedures based on the review findings" } }, { "rule_id": "STD-2024-076.7.4", "title": "Stakeholder Input in Post-Emergency Review", "rule_type": "obligation", "summary": "The post-emergency review must include input from regulated entities and other stakeholders.", "core_obligation": { "actor": "Competent Authority", "action": "include stakeholder input in review", "modality": "shall", "object": "post-emergency review", "conditions": [ "include input from regulated entities and other stakeholders" ] }, "applicability": "Competent Authority conducting post-emergency reviews.", "severity": "medium", "category": "Post-Emergency Review", "source_ref": { "page": 72, "clause": "Section 76.7(b)(i)", "text_snippet": "Include input from regulated entities and other stakeholders" } }, { "rule_id": "STD-2024-076.7.5", "title": "Parliamentary Committee Submission", "rule_type": "obligation", "summary": "The post-emergency review must be submitted to the relevant parliamentary committee.", "core_obligation": { "actor": "Competent Authority", "action": "submit review to parliamentary committee", "modality": "shall", "object": "post-emergency review", "conditions": [ "to the relevant parliamentary committee" ] }, "applicability": "Competent Authority conducting post-emergency reviews.", "severity": "medium", "category": "Accountability", "source_ref": { "page": 72, "clause": "Section 76.7(b)(ii)", "text_snippet": "Be submitted to the relevant parliamentary committee" } }, { "rule_id": "STD-2024-076.7.6", "title": "Public Availability of Post-Emergency Review", "rule_type": "obligation", "summary": "The post-emergency review must be made publicly available, subject to necessary redactions.", "core_obligation": { "actor": "Competent Authority", "action": "make review publicly available", "modality": "shall", "object": "post-emergency review", "conditions": [ "subject to necessary redactions" ] }, "applicability": "Competent Authority conducting post-emergency reviews.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 72, "clause": "Section 76.7(b)(iii)", "text_snippet": "Be made publicly available, subject to necessary redactions" } }, { "rule_id": "STD-2024-076.8.1", "title": "Good Faith Liability Protection", "rule_type": "power", "summary": "Actions taken in good faith under emergency powers shall not be grounds for liability against the Competent Authority, its staff, regulated entities complying with directives, or individuals acting under the Authority's authorization.", "core_obligation": { "actor": "Competent Authority, its staff, regulated entities, individuals", "action": "protected from liability", "modality": "shall not", "object": "liability for actions taken in good faith under emergency powers", "conditions": [ "actions taken in good faith", "under emergency powers" ] }, "applicability": "All parties acting under emergency powers in good faith.", "severity": "high", "category": "Liability Protection", "source_ref": { "page": 72, "clause": "Section 76.8(a)", "text_snippet": "Actions taken in good faith under emergency powers shall not be grounds for liability against: (i) The Competent Authority or its staff; (ii) Regulated entities complying with emergency directives; (iii) Individuals acting under the authority of the Competent Authority" } }, { "rule_id": "STD-2024-076.8.2", "title": "Liability Protection Exclusions", "rule_type": "sanction", "summary": "Liability protection does not extend to willful misconduct or gross negligence, actions taken outside the scope of emergency powers, or failure to comply with emergency directives.", "core_obligation": { "actor": "Competent Authority, its staff, regulated entities, individuals", "action": "not protected from liability", "modality": "does not extend to", "object": "liability for misconduct, actions outside scope, or non-compliance", "conditions": [ "willful misconduct or gross negligence", "actions taken outside the scope of emergency powers", "failure to comply with emergency directives" ] }, "applicability": "All parties whose actions fall under the exclusion criteria.", "severity": "critical", "category": "Liability", "source_ref": { "page": 72, "clause": "Section 76.8(b)", "text_snippet": "However, this protection does not extend to: (i) Willful misconduct or gross negligence; (ii) Actions taken outside the scope of emergency powers; (iii) Failure to comply with emergency directives" } }, { "rule_id": "STD-2024-077", "title": "RCC Development of RIA Standards", "rule_type": "obligation", "summary": "The RCC must develop common standards and methodologies for conducting RIAs.", "core_obligation": { "actor": "RCC", "action": "develop common standards and methodologies", "modality": "shall", "object": "standards and methodologies for conducting RIAs", "conditions": [] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "high", "category": "Regulatory Process", "source_ref": { "page": 43, "clause": "Section 61.5(b)(i)", "text_snippet": "Develop common standards and methodologies for conducting RIAs" } }, { "rule_id": "STD-2024-077-001", "title": "Funding Sources for Competent Authority", "rule_type": "obligation", "summary": "The Competent Authority shall be funded through five specified sources: fees, levies, fines/penalties, government appropriations, and grants/donations.", "core_obligation": { "actor": "Competent Authority", "action": "be funded through specified sources", "modality": "shall", "object": "funding from fees, levies, fines, appropriations, and grants", "conditions": [ "fees charged for licenses and services", "levies based on annual turnover or appropriate metrics", "fines and penalties from enforcement", "parliamentary-approved appropriations", "grants from international organizations" ] }, "applicability": "Competent Authority financial operations", "severity": "high", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.1(a)", "text_snippet": "The Competent Authority shall be funded through: (i) Fees charged for licenses..." } }, { "rule_id": "STD-2024-077-002", "title": "Financial Self-Sufficiency Objective", "rule_type": "obligation", "summary": "The Authority shall strive to achieve financial self-sufficiency through fees and levies, reducing reliance on government appropriations over time.", "core_obligation": { "actor": "Competent Authority", "action": "strive to achieve financial self-sufficiency", "modality": "shall", "object": "financial independence through fees and levies", "conditions": [ "reducing reliance on government appropriations over time" ] }, "applicability": "Long-term financial planning of the Authority", "severity": "medium", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.1(b)", "text_snippet": "The Authority shall strive to achieve financial self-sufficiency..." } }, { "rule_id": "STD-2024-077-003", "title": "Annual Budget Preparation Requirements", "rule_type": "obligation", "summary": "The Competent Authority shall prepare an annual budget including projected revenues, planned expenditures, and proposed fee/levy changes.", "core_obligation": { "actor": "Competent Authority", "action": "prepare annual budget", "modality": "shall", "object": "comprehensive annual budget", "conditions": [ "must include projected revenues from all sources", "must include planned expenditures for operations, capital, and projects", "must include proposed changes to fee structures or levy rates" ] }, "applicability": "Annual financial planning cycle", "severity": "high", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.2(a)", "text_snippet": "The Competent Authority shall prepare an annual budget that includes..." } }, { "rule_id": "STD-2024-077-004", "title": "Budget Approval and Submission Process", "rule_type": "obligation", "summary": "The draft budget must be approved by the Board, submitted to the Minister at least three months before the financial year, and presented to the parliamentary oversight committee.", "core_obligation": { "actor": "Competent Authority", "action": "obtain approvals and submit budget", "modality": "shall", "object": "draft annual budget", "conditions": [ "approved by the Board of the Authority", "submitted to Minister at least three months before financial year start", "presented to parliamentary oversight committee" ] }, "applicability": "Annual budget approval process", "severity": "critical", "category": "Governance", "source_ref": { "page": 74, "clause": "Section 77.2(b)", "text_snippet": "The draft budget shall be: (i) Approved by the Board..." } }, { "rule_id": "STD-2024-077-005", "title": "Budget Publication Requirement", "rule_type": "obligation", "summary": "Once approved, the budget shall be published on the Authority's website.", "core_obligation": { "actor": "Competent Authority", "action": "publish approved budget", "modality": "shall", "object": "approved annual budget", "conditions": [ "on the Authority's website" ] }, "applicability": "Post-budget approval transparency", "severity": "medium", "category": "Transparency", "source_ref": { "page": 74, "clause": "Section 77.2(c)", "text_snippet": "Once approved, the budget shall be published on the Authority's website." } }, { "rule_id": "STD-2024-077-006", "title": "Financial Record-Keeping and Reporting Standards", "rule_type": "obligation", "summary": "The Competent Authority shall maintain proper books of accounts, prepare financial statements per IFRS, implement internal controls, and establish an internal audit function.", "core_obligation": { "actor": "Competent Authority", "action": "maintain financial records and controls", "modality": "shall", "object": "accounting records, financial statements, and control systems", "conditions": [ "maintain proper books of accounts and records", "prepare statements per International Financial Reporting Standards", "implement robust internal control systems", "establish internal audit function reporting to Board" ] }, "applicability": "Ongoing financial management operations", "severity": "high", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.3(a)", "text_snippet": "The Competent Authority shall: (i) Maintain proper books of accounts..." } }, { "rule_id": "STD-2024-077-007", "title": "External Auditor Appointment Requirements", "rule_type": "obligation", "summary": "The Authority shall appoint a registered public auditor for a three-year term (renewable once) to conduct annual audits of financial statements.", "core_obligation": { "actor": "Competent Authority", "action": "appoint external auditor", "modality": "shall", "object": "external auditor", "conditions": [ "must be a registered public auditor", "appointed for three-year term, renewable once", "conduct annual audits of financial statements" ] }, "applicability": "External audit arrangements", "severity": "critical", "category": "Financial Accountability", "source_ref": { "page": 74, "clause": "Section 77.3(b)", "text_snippet": "The Authority shall appoint an external auditor who shall..." } }, { "rule_id": "STD-2024-077-008", "title": "Investment of Surplus Funds", "rule_type": "power", "summary": "The Competent Authority may invest surplus funds not immediately required, subject to Board-approved investment policy, restrictions on high-risk investments, and regular reporting.", "core_obligation": { "actor": "Competent Authority", "action": "invest surplus funds", "modality": "may", "object": "surplus funds", "conditions": [ "subject to Board-approved investment policy", "restrictions on high-risk or speculative investments", "regular reporting on investment performance" ] }, "applicability": "When surplus funds are available", "severity": "medium", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.4(a)", "text_snippet": "The Competent Authority may invest any surplus funds not immediately required..." } }, { "rule_id": "STD-2024-077-009", "title": "Investment Income Use and Reporting", "rule_type": "obligation", "summary": "Investment income shall be used to support regulatory activities, reported separately in financial statements, and considered when setting fees and levies.", "core_obligation": { "actor": "Competent Authority", "action": "use and report investment income", "modality": "shall", "object": "investment income", "conditions": [ "used to support regulatory activities", "reported separately in financial statements", "considered when setting fees and levies to avoid over-collection" ] }, "applicability": "When investment income is generated", "severity": "medium", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.4(b)", "text_snippet": "Investment income shall be: (i) Used to support the Authority's regulatory activities..." } }, { "rule_id": "STD-2024-077-010", "title": "Annual Financial Reporting Requirements", "rule_type": "obligation", "summary": "Within three months after the financial year end, the Authority shall prepare annual financial statements, operations report, and report on use of collected funds.", "core_obligation": { "actor": "Competent Authority", "action": "prepare annual reports", "modality": "shall", "object": "financial statements and operational reports", "conditions": [ "within three months after financial year end", "annual financial statements", "report on operations and performance", "report on use of fees, levies, and fines" ] }, "applicability": "Annual reporting cycle", "severity": "high", "category": "Financial Accountability", "source_ref": { "page": 74, "clause": "Section 77.5(a)", "text_snippet": "Within three months after the end of each financial year, the Competent Authority shall prepare..." } }, { "rule_id": "STD-2024-077-011", "title": "Financial Report Distribution and Publication", "rule_type": "obligation", "summary": "Annual reports shall be submitted to the Minister and Parliament, published on the Authority's website, and made available to the public upon request.", "core_obligation": { "actor": "Competent Authority", "action": "distribute and publish reports", "modality": "shall", "object": "annual financial and operational reports", "conditions": [ "submitted to Minister and Parliament", "published on Authority's website", "made available to public upon request" ] }, "applicability": "Annual reporting distribution", "severity": "high", "category": "Transparency", "source_ref": { "page": 74, "clause": "Section 77.5(b)", "text_snippet": "These reports shall be: (i) Submitted to the Minister and Parliament..." } }, { "rule_id": "STD-2024-077-012", "title": "Special Purpose Funds Establishment", "rule_type": "power", "summary": "The Competent Authority may establish special purpose funds including Innovation Fund, Consumer Protection Fund, and Emergency Response Fund.", "core_obligation": { "actor": "Competent Authority", "action": "establish special purpose funds", "modality": "may", "object": "special purpose funds", "conditions": [ "Innovation Fund for research and development", "Consumer Protection Fund for consumer compensation", "Emergency Response Fund per Section 76.5" ] }, "applicability": "Strategic fund management", "severity": "medium", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.6(a)", "text_snippet": "The Competent Authority may establish special purpose funds, including..." } }, { "rule_id": "STD-2024-077-013", "title": "Special Fund Governance Requirements", "rule_type": "obligation", "summary": "Each special fund shall have clear objectives and criteria, separate accounting and reporting, and oversight by a dedicated Board committee.", "core_obligation": { "actor": "Competent Authority", "action": "govern special funds properly", "modality": "shall", "object": "each special purpose fund", "conditions": [ "clear objectives and criteria for use", "separate accounting and reporting", "oversight by dedicated Board committee" ] }, "applicability": "All established special purpose funds", "severity": "high", "category": "Financial Management", "source_ref": { "page": 74, "clause": "Section 77.6(b)", "text_snippet": "Each special fund shall have: (i) Clear objectives and criteria..." } }, { "rule_id": "STD-2024-077-014", "title": "Procurement Procedures Requirements", "rule_type": "obligation", "summary": "The Competent Authority shall establish procurement procedures ensuring transparency, fair competition, value for money, and promotion of local content where possible.", "core_obligation": { "actor": "Competent Authority", "action": "establish procurement procedures", "modality": "shall", "object": "procurement procedures", "conditions": [ "ensure transparency and fair competition", "ensure value for money in all purchases", "promote local content without compromising quality" ] }, "applicability": "All procurement activities", "severity": "high", "category": "Procurement", "source_ref": { "page": 74, "clause": "Section 77.7(a)", "text_snippet": "The Competent Authority shall establish procurement procedures that ensure..." } }, { "rule_id": "STD-2024-077-015", "title": "Major Contract Competitive Bidding Requirements", "rule_type": "obligation", "summary": "For major contracts above threshold amount, the Authority shall use open competitive bidding, publish tender notices widely, and disclose contract awards on its website.", "core_obligation": { "actor": "Competent Authority", "action": "conduct competitive bidding for major contracts", "modality": "shall", "object": "major contracts above threshold amount", "conditions": [ "use open competitive bidding", "publish tender notices widely", "disclose contract awards on website" ] }, "applicability": "Major contracts above specified threshold", "severity": "high", "category": "Procurement", "source_ref": { "page": 74, "clause": "Section 77.7(b)", "text_snippet": "For major contracts above [threshold amount], the Authority shall..." } }, { "rule_id": "STD-2024-077-016", "title": "Asset Management Requirements", "rule_type": "obligation", "summary": "The Competent Authority shall maintain a comprehensive asset register, conduct regular physical verifications, implement maintenance and replacement plans, and dispose of assets transparently.", "core_obligation": { "actor": "Competent Authority", "action": "manage assets comprehensively", "modality": "shall", "object": "all Authority assets", "conditions": [ "maintain comprehensive asset register", "conduct regular physical verifications", "implement maintenance and replacement plan", "dispose of assets transparently, maximizing returns" ] }, "applicability": "All Authority assets", "severity": "high", "category": "Asset Management", "source_ref": { "page": 74, "clause": "Section 77.8(a)", "text_snippet": "The Competent Authority shall: (i) Maintain a comprehensive asset register..." } }, { "rule_id": "STD-2024-077-017", "title": "Major Asset Disposal Restrictions", "rule_type": "obligation", "summary": "The Authority shall not dispose of any major asset without Board approval and notification to the Minister.", "core_obligation": { "actor": "Competent Authority", "action": "obtain approval before disposing major assets", "modality": "shall not", "object": "major assets", "conditions": [ "without Board approval", "without notification to the Minister" ] }, "applicability": "Disposal of major assets", "severity": "critical", "category": "Asset Management", "source_ref": { "page": 74, "clause": "Section 77.8(b)", "text_snippet": "The Authority shall not dispose of any major asset without Board approval..." } }, { "rule_id": "STD-2024-077-018", "title": "Financial Accountability and Audit Submission", "rule_type": "obligation", "summary": "The Competent Authority shall be subject to annual performance audits by the National Audit Office, periodic value-for-money audits, and parliamentary committee scrutiny.", "core_obligation": { "actor": "Competent Authority", "action": "submit to audits and scrutiny", "modality": "shall", "object": "financial and operational performance", "conditions": [ "annual performance audits by National Audit Office", "periodic value-for-money audits", "scrutiny by parliamentary committees" ] }, "applicability": "Ongoing accountability framework", "severity": "critical", "category": "Financial Accountability", "source_ref": { "page": 74, "clause": "Section 77.9(a)", "text_snippet": "The Competent Authority shall be subject to: (i) Annual performance audits..." } }, { "rule_id": "STD-2024-077-019", "title": "Audit Response Timeline", "rule_type": "obligation", "summary": "The Authority shall respond to all audit findings and recommendations within 60 days, detailing corrective actions to be taken.", "core_obligation": { "actor": "Competent Authority", "action": "respond to audit findings", "modality": "shall", "object": "audit findings and recommendations", "conditions": [ "within 60 days", "detailing corrective actions to be taken" ] }, "applicability": "All audit findings received", "severity": "high", "category": "Financial Accountability", "source_ref": { "page": 74, "clause": "Section 77.9(b)", "text_snippet": "The Authority shall respond to all audit findings and recommendations within 60 days..." } }, { "rule_id": "STD-2024-077-020", "title": "Financial Regulations Issuance", "rule_type": "obligation", "summary": "The Board shall issue detailed financial regulations covering financial planning, revenue management, expenditure controls, asset/liability management, and reporting requirements.", "core_obligation": { "actor": "Board of the Authority", "action": "issue detailed financial regulations", "modality": "shall", "object": "comprehensive financial regulations", "conditions": [ "covering financial planning and budgeting", "covering revenue collection and management", "covering expenditure controls and authorization levels", "covering asset and liability management", "covering financial reporting requirements" ] }, "applicability": "Board regulatory function", "severity": "high", "category": "Governance", "source_ref": { "page": 74, "clause": "Section 77.10(a)", "text_snippet": "The Board shall issue detailed financial regulations covering..." } }, { "rule_id": "STD-2024-077-021", "title": "Financial Regulations Review and Publication", "rule_type": "obligation", "summary": "Financial regulations shall be reviewed and updated at least every three years, made available to all staff, and published on the Authority's website for transparency.", "core_obligation": { "actor": "Board of the Authority", "action": "review, update, and publish financial regulations", "modality": "shall", "object": "financial regulations", "conditions": [ "reviewed and updated at least every three years", "made available to all staff", "published on Authority's website for transparency" ] }, "applicability": "Financial regulations maintenance", "severity": "medium", "category": "Governance", "source_ref": { "page": 74, "clause": "Section 77.10(b)", "text_snippet": "These regulations shall be: (i) Reviewed and updated at least every three years..." } }, { "rule_id": "STD-2024-078", "title": "RCC Training on RIA Best Practices", "rule_type": "obligation", "summary": "The RCC must provide training to authority staff on RIA best practices.", "core_obligation": { "actor": "RCC", "action": "provide training", "modality": "shall", "object": "training to authority staff on RIA best practices", "conditions": [] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 43, "clause": "Section 61.5(b)(ii)", "text_snippet": "Provide training to authority staff on RIA best practices" } }, { "rule_id": "STD-2024-078.1", "title": "Initial Implementation Review - One Year", "rule_type": "obligation", "summary": "The Minister must review the Act's implementation after one year, present a report to Parliament, and make recommendations for amendments.", "core_obligation": { "actor": "Minister", "action": "review implementation and report to Parliament", "modality": "shall", "object": "implementation of this Act", "conditions": [ "after one year from commencement", "must include recommendations for amendments or additional measures", "review must be made public" ] }, "applicability": "Minister responsible for the Act", "severity": "high", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.1", "text_snippet": "The Minister shall: (i) Review the implementation of this Act after one year from its commencement; (ii) Present a report to Parliament..." } }, { "rule_id": "STD-2024-078.2", "title": "Periodic Comprehensive Review", "rule_type": "obligation", "summary": "The Minister must initiate comprehensive reviews within 5 years of commencement and subsequently at intervals not exceeding 7 years.", "core_obligation": { "actor": "Minister", "action": "initiate comprehensive review", "modality": "shall", "object": "this Act", "conditions": [ "within five years of coming into force", "subsequently at intervals not exceeding seven years", "must assess effectiveness, unintended consequences, need for amendments, and international alignment" ] }, "applicability": "Minister responsible for the Act", "severity": "high", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.2", "text_snippet": "The Minister shall initiate a comprehensive review of this Act: (i) Within five years of its coming into force; (ii) Subsequently, at intervals not exceeding seven years." } }, { "rule_id": "STD-2024-078.3a", "title": "Appointment of Review Committee", "rule_type": "obligation", "summary": "The Minister must appoint a Review Committee with specific composition including independent chairperson, government representatives, experts, and civil society representatives.", "core_obligation": { "actor": "Minister", "action": "appoint Review Committee", "modality": "shall", "object": "Review Committee", "conditions": [ "must include independent chairperson with legal expertise", "must include government department representatives", "must include academic and industry experts", "must include civil society organisation representatives" ] }, "applicability": "Minister conducting periodic or comprehensive reviews", "severity": "medium", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.3(a)", "text_snippet": "The Minister shall appoint a Review Committee comprising: (i) An independent chairperson with legal expertise; (ii) Representatives from relevant government departments..." } }, { "rule_id": "STD-2024-078.3b", "title": "Review Committee Powers and Obligations", "rule_type": "obligation", "summary": "The Review Committee must determine procedures, commission research, consult stakeholders, and submit report within 12 months.", "core_obligation": { "actor": "Review Committee", "action": "conduct review and submit report", "modality": "shall", "object": "review report", "conditions": [ "must determine own procedures", "must have power to commission research and seek expert advice", "must consult widely with stakeholders and public", "must submit report to Minister within 12 months of appointment" ] }, "applicability": "Review Committee appointed under Section 78.3", "severity": "medium", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.3(b)", "text_snippet": "The Committee shall: (i) Determine its own procedures; (ii) Have the power to commission research... (iv) Submit a report to the Minister within 12 months of its appointment." } }, { "rule_id": "STD-2024-078.4", "title": "Public Consultation Requirements", "rule_type": "obligation", "summary": "The Review Committee must conduct public consultations including discussion papers, written submissions, public hearings, and targeted stakeholder engagement.", "core_obligation": { "actor": "Review Committee", "action": "conduct public consultations", "modality": "shall", "object": "public consultation process", "conditions": [ "must publish discussion paper outlining key issues", "must invite written submissions", "must hold public hearings in major cities", "must engage with specific stakeholder groups", "must make submissions and transcripts publicly available (subject to confidentiality)" ] }, "applicability": "Review Committee conducting reviews under this Act", "severity": "high", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.4", "text_snippet": "The Review Committee shall conduct public consultations, including: (i) Publishing a discussion paper... All submissions and transcripts of hearings shall be made publicly available..." } }, { "rule_id": "STD-2024-078.5", "title": "Scope of Review Content", "rule_type": "obligation", "summary": "The review must consider specific matters including scope of regulated activities, Authority powers, enforcement effectiveness, penalties, innovation impact, legislative interaction, and international developments.", "core_obligation": { "actor": "Review Committee", "action": "consider specified matters in review", "modality": "shall", "object": "review content", "conditions": [ "must consider scope and coverage of regulated activities", "must consider powers and resources of Competent Authority", "must consider effectiveness of enforcement mechanisms", "must consider adequacy of penalties and sanctions", "must consider impact on innovation and competitiveness", "must consider interaction with other legislation", "must consider international regulatory developments", "not limited to these matters" ] }, "applicability": "Review Committee conducting comprehensive reviews", "severity": "medium", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.5", "text_snippet": "The review shall consider the following, but will not be limited them: (i) The scope and coverage of regulated activities; (ii) The powers and resources of the Competent Authority..." } }, { "rule_id": "STD-2024-078.6a", "title": "Review Report Content Requirements", "rule_type": "obligation", "summary": "The Review Committee's report must include consultation summary, performance assessment, recommendations, regulatory impact assessment, and minority views.", "core_obligation": { "actor": "Review Committee", "action": "prepare comprehensive report", "modality": "shall", "object": "Review Committee report", "conditions": [ "must include summary of consultation process and key findings", "must include assessment of Act's performance against objectives", "must include recommendations for amendments or reforms", "must include regulatory impact assessment of proposed changes", "must include minority views if any from Committee members" ] }, "applicability": "Review Committee submitting reports under this Act", "severity": "medium", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.6(a)", "text_snippet": "The Review Committee's report shall include: (i) A summary of the consultation process and key findings; (ii) An assessment of the Act's performance..." } }, { "rule_id": "STD-2024-078.6b", "title": "Minister's Report Handling Obligations", "rule_type": "obligation", "summary": "The Minister must table the review report in Parliament within 30 days, publish it online, and provide formal response within six months.", "core_obligation": { "actor": "Minister", "action": "table, publish, and respond to review report", "modality": "shall", "object": "Review Committee report", "conditions": [ "must table report in Parliament within 30 days of receiving it", "must publish report on Ministry's website", "must provide formal response within six months" ] }, "applicability": "Minister receiving Review Committee reports", "severity": "high", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.6(b)", "text_snippet": "The Minister shall: (i) Table the report in Parliament within 30 days of receiving it; (ii) Publish the report on the Ministry's website; and (iii) Provide a formal response to the report within six months." } }, { "rule_id": "STD-2024-078.7a", "title": "Implementation of Review Recommendations", "rule_type": "obligation", "summary": "Within 12 months of report publication, the Minister must develop action plan, introduce amending legislation, and direct regulatory changes.", "core_obligation": { "actor": "Minister", "action": "implement accepted recommendations", "modality": "shall", "object": "action plan and legislative amendments", "conditions": [ "within 12 months of report's publication", "must develop action plan for implementing accepted recommendations", "must introduce necessary amending legislation to Parliament", "must direct Competent Authority to make required regulatory or procedural changes" ] }, "applicability": "Minister responding to Review Committee recommendations", "severity": "high", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.7(a)", "text_snippet": "Within 12 months of the report's publication, the Minister shall: (i) Develop an action plan for implementing accepted recommendations; (ii) Introduce any necessary amending legislation..." } }, { "rule_id": "STD-2024-078.7b", "title": "Annual Progress Reporting on Recommendations", "rule_type": "obligation", "summary": "The Minister must report annually to Parliament on progress implementing review recommendations until all accepted recommendations are addressed.", "core_obligation": { "actor": "Minister", "action": "report annually on implementation progress", "modality": "shall", "object": "progress report to Parliament", "conditions": [ "must report annually to Parliament", "must continue until all accepted recommendations have been addressed" ] }, "applicability": "Minister implementing review recommendations", "severity": "medium", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.7(b)", "text_snippet": "The Minister shall report annually to Parliament on the progress of implementing the review's recommendations until all accepted recommendations have been addressed." } }, { "rule_id": "STD-2024-078.8", "title": "Power to Conduct Interim Reviews", "rule_type": "power", "summary": "The Minister may initiate targeted reviews of specific aspects of the Act at any time if significant issues arise, technology changes, or international obligations require amendments.", "core_obligation": { "actor": "Minister", "action": "initiate targeted interim reviews", "modality": "may", "object": "specific aspects of the Act", "conditions": [ "if significant issues identified through Act's operation", "if rapid technological or market changes necessitate regulatory adaptation", "if international obligations require amendments", "must follow similar consultation and public reporting process as comprehensive review" ] }, "applicability": "Minister at any time between periodic reviews", "severity": "medium", "category": "Governance", "source_ref": { "page": 76, "clause": "Section 78.8", "text_snippet": "Notwithstanding the periodic review, the Minister may initiate targeted reviews of specific aspects of the Act at any time if: (i) Significant issues are identified... Such interim reviews shall follow a similar process..." } }, { "rule_id": "STD-2024-079", "title": "RCC Quality Assessment of RIAs", "rule_type": "obligation", "summary": "The RCC must conduct periodic quality assessments of RIAs across authorities.", "core_obligation": { "actor": "RCC", "action": "conduct periodic quality assessments", "modality": "shall", "object": "RIAs across authorities", "conditions": [ "periodic" ] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "medium", "category": "Quality Assurance", "source_ref": { "page": 43, "clause": "Section 61.5(b)(iii)", "text_snippet": "Conduct periodic quality assessments of RIAs across authorities" } }, { "rule_id": "STD-2024-080", "title": "Publication of RIAs", "rule_type": "obligation", "summary": "Authorities must publish RIAs and their outcomes to ensure transparency and stakeholder engagement.", "core_obligation": { "actor": "Authorities", "action": "publish RIAs and outcomes", "modality": "shall", "object": "RIAs and their outcomes", "conditions": [ "to ensure transparency and stakeholder engagement" ] }, "applicability": "All authorities conducting RIAs.", "severity": "medium", "category": "Transparency", "source_ref": { "page": 43, "clause": "Section 61.5(c)", "text_snippet": "Authorities shall publish RIAs and their outcomes to ensure transparency and stakeholder engagement" } }, { "rule_id": "STD-2024-080.1", "title": "Act Entry into Force - Effective Date", "rule_type": "obligation", "summary": "The Act shall come into force on a specific date or 90 days after publication in the Official Gazette, whichever is later. The Minister may specify different effective dates for different provisions.", "core_obligation": { "actor": "The Act (automatic operation) / Minister (for staggered implementation)", "action": "come into force", "modality": "shall", "object": "the Act and its provisions", "conditions": [ "on specific date OR 90 days after Official Gazette publication, whichever is later", "Minister may specify different dates for different provisions through Official Gazette notifications" ] }, "applicability": "The entire Act and all regulated entities once effective.", "severity": "high", "category": "Legal Framework", "source_ref": { "page": 79, "clause": "Section 80.1", "text_snippet": "This Act shall come into force: (i) On [specific date]; or (ii) 90 days after its publication in the Official Gazette, whichever is later." } }, { "rule_id": "STD-2024-080.2", "title": "Preparatory Actions Before Effective Date", "rule_type": "power", "summary": "Upon enactment but before the effective date, the Minister may take preparatory actions including appointing personnel, allocating budgets, drafting regulations, and establishing institutional structures. These actions do not create rights or obligations until the Act is in force.", "core_obligation": { "actor": "Minister", "action": "take preparatory actions", "modality": "may", "object": "key personnel appointments, budget allocation, regulation drafting, institutional structures", "conditions": [ "after enactment but before effective date", "no rights or obligations created until Act comes into force" ] }, "applicability": "Minister responsible for implementing the Act.", "severity": "medium", "category": "Administrative", "source_ref": { "page": 79, "clause": "Section 80.2", "text_snippet": "Upon enactment but before the effective date, the Minister may: (i) Appoint key personnel... These preparatory actions shall not create any rights or obligations until the Act comes into force." } }, { "rule_id": "STD-2024-080.3", "title": "Public Notification of Entry into Force", "rule_type": "obligation", "summary": "The Minister shall ensure wide public awareness of the Act's entry into force through multiple channels (newspapers, TV, radio, website, direct communication) and must include specific information about effective dates, key obligations, and contact information.", "core_obligation": { "actor": "Minister", "action": "ensure wide public awareness", "modality": "shall", "object": "Act's entry into force", "conditions": [ "through public notices in national and regional newspapers", "through announcements on national television and radio", "through a dedicated website", "through direct communication to regulated entities and industry associations", "must include: effective date(s), key obligations for stakeholders, contact information" ] }, "applicability": "Minister responsible for implementing the Act; affects all stakeholders and the public.", "severity": "high", "category": "Transparency and Communication", "source_ref": { "page": 79, "clause": "Section 80.3", "text_snippet": "The Minister shall ensure wide public awareness of the Act's entry into force through: (i) Public notices in national and regional newspapers..." } }, { "rule_id": "STD-2024-080.4a", "title": "Implementing Regulations - Drafting and Publication Timeline", "rule_type": "obligation", "summary": "The Minister shall ensure all essential implementing regulations are drafted and published for public comment at least 60 days before the Act's effective date, and finalized and published at least 30 days before the effective date.", "core_obligation": { "actor": "Minister", "action": "ensure implementing regulations are drafted, published, and finalized", "modality": "shall", "object": "all essential implementing regulations", "conditions": [ "published for public comment at least 60 days before effective date", "finalized and published at least 30 days before effective date" ] }, "applicability": "Minister responsible for implementing the Act.", "severity": "high", "category": "Regulatory Development", "source_ref": { "page": 79, "clause": "Section 80.4(a)", "text_snippet": "The Minister shall ensure that all essential implementing regulations are: (i) Drafted and published for public comment at least 60 days before the Act's effective date; and (ii) Finalised and published at least 30 days before the effective date." } }, { "rule_id": "STD-2024-080.4b", "title": "Consequences of Delayed Implementing Regulations", "rule_type": "obligation", "summary": "Where implementing regulations are not ready by the effective date, the relevant provisions of the Act shall remain inoperative, and the Minister shall report to Parliament explaining the delay and providing a completion timeline.", "core_obligation": { "actor": "Minister / Act provisions (automatic)", "action": "provisions remain inoperative; Minister reports to Parliament", "modality": "shall", "object": "relevant Act provisions / delay report", "conditions": [ "when regulations are not ready by effective date", "report must explain delay and provide timeline for completion" ] }, "applicability": "Minister and Parliament; affects implementation of specific Act provisions.", "severity": "high", "category": "Accountability and Oversight", "source_ref": { "page": 79, "clause": "Section 80.4(b)", "text_snippet": "Where regulations are not ready by the effective date: (i) The relevant provisions of the Act shall remain inoperative; (ii) The Minister shall report to Parliament explaining the delay..." } }, { "rule_id": "STD-2024-080.5a", "title": "Competent Authority - Monitoring and Reporting on Implementation", "rule_type": "obligation", "summary": "The Competent Authority shall monitor the implementation of the Act in its initial phase, report to the Minister within 6 months on any issues or challenges, and recommend necessary adjustments to the implementation timeline or approach.", "core_obligation": { "actor": "Competent Authority", "action": "monitor implementation, report to Minister, recommend adjustments", "modality": "shall", "object": "Act implementation in initial phase", "conditions": [ "report within 6 months", "report on issues or challenges encountered", "recommend adjustments to timeline or approach" ] }, "applicability": "Competent Authority established under the Act.", "severity": "medium", "category": "Monitoring and Evaluation", "source_ref": { "page": 79, "clause": "Section 80.5(a)", "text_snippet": "The Competent Authority shall: (i) Monitor the implementation of the Act in its initial phase; (ii) Report to the Minister within 6 months on any issues or challenges encountered; and (iii) Recommend any necessary adjustments..." } }, { "rule_id": "STD-2024-080.5b", "title": "Minister - Parliamentary Reporting and Publication of Implementation Review", "rule_type": "obligation", "summary": "The Minister shall present the Competent Authority's implementation report to Parliament and publish it on the Ministry's website.", "core_obligation": { "actor": "Minister", "action": "present report to Parliament and publish on website", "modality": "shall", "object": "Competent Authority's implementation report", "conditions": [ "present to Parliament", "publish on Ministry's website" ] }, "applicability": "Minister responsible for the Act; Parliament; public stakeholders.", "severity": "medium", "category": "Transparency and Accountability", "source_ref": { "page": 79, "clause": "Section 80.5(b)", "text_snippet": "The Minister shall present this report to Parliament and publish it on the Ministry's website." } }, { "rule_id": "STD-2024-081", "title": "Establishment of Dispute Resolution Mechanism", "rule_type": "obligation", "summary": "The RCC must establish a formal mechanism for resolving disputes between authorities, including procedures for raising concerns, mediation, and binding arbitration.", "core_obligation": { "actor": "RCC", "action": "establish dispute resolution mechanism", "modality": "shall", "object": "formal mechanism for resolving disputes between authorities", "conditions": [ "including procedures for raising concerns", "mediation process", "binding arbitration" ] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "critical", "category": "Dispute Resolution", "source_ref": { "page": 43, "clause": "Section 61.6(a)", "text_snippet": "The RCC shall establish a formal mechanism for resolving disputes between authorities, including: (i) Procedures for authorities to raise concerns... (ii) A mediation process... (iii) Binding arbitration" } }, { "rule_id": "STD-2024-081.10a", "title": "Personnel Transfer Terms", "rule_type": "obligation", "summary": "Staff employed by the Previous Regulatory Body shall be transferred to the Competent Authority on terms not less favorable, with previous service counted for benefits.", "core_obligation": { "actor": "Competent Authority", "action": "transfer staff on favorable terms", "modality": "shall", "object": "staff of Previous Regulatory Body", "conditions": [ "be transferred to the Competent Authority on terms not less favorable than those they previously enjoyed", "have their previous service counted as service with the Competent Authority for purposes of pensions and other benefits" ] }, "applicability": "All staff of the Previous Regulatory Body.", "severity": "critical", "category": "Employment Rights", "source_ref": { "page": 80, "clause": "Section 81.10(a)", "text_snippet": "Staff employed by the [Previous Regulatory Body] shall: (i) Be transferred to the Competent Authority on terms not less favorable than those they previously enjoyed; (ii) Have their previous service counted as service with the Competent Authority for purposes of pensions and other benefits." } }, { "rule_id": "STD-2024-081.10a", "title": "Personnel Transfer Protection", "rule_type": "obligation", "summary": "Staff from the Previous Regulatory Body must be transferred to the Competent Authority on terms not less favorable, with service continuity for benefits.", "core_obligation": { "actor": "Competent Authority", "action": "transfer staff with protected terms", "modality": "shall", "object": "staff employment and benefits", "conditions": [ "transferred on terms not less favorable than previously enjoyed", "previous service counted for pensions and other benefits" ] }, "applicability": "Competent Authority and staff of Previous Regulatory Body.", "severity": "high", "category": "Employment", "source_ref": { "page": 80, "clause": "Section 81.10(a)", "text_snippet": "Staff employed by the [Previous Regulatory Body] shall: (i) Be transferred to the Competent Authority on terms not less favorable than those they previously enjoyed; (ii) Have their previous service counted as service with the Competent Authority for purposes of pensions and other benefits." } }, { "rule_id": "STD-2024-081.10b", "title": "Additional Training Power for Transferred Staff", "rule_type": "power", "summary": "The Competent Authority may require transferred staff to undergo additional training or qualification processes to meet new regulatory standards.", "core_obligation": { "actor": "Competent Authority", "action": "require additional training", "modality": "may", "object": "transferred staff training or qualification", "conditions": [ "to meet new regulatory standards" ] }, "applicability": "Competent Authority in relation to transferred staff.", "severity": "medium", "category": "Capacity Building", "source_ref": { "page": 80, "clause": "Section 81.10(b)", "text_snippet": "The Competent Authority may require transferred staff to undergo additional training or qualification processes to meet new regulatory standards." } }, { "rule_id": "STD-2024-081.10b", "title": "Staff Training and Qualification Power", "rule_type": "power", "summary": "The Competent Authority may require transferred staff to undergo additional training or qualification processes to meet new regulatory standards.", "core_obligation": { "actor": "Competent Authority", "action": "require additional training or qualification", "modality": "may", "object": "transferred staff training and qualifications", "conditions": [ "to meet new regulatory standards" ] }, "applicability": "Competent Authority managing transferred personnel.", "severity": "medium", "category": "Employment", "source_ref": { "page": 80, "clause": "Section 81.10(b)", "text_snippet": "The Competent Authority may require transferred staff to undergo additional training or qualification processes to meet new regulatory standards." } }, { "rule_id": "STD-2024-081.11a", "title": "Transitional Governance Continuity", "rule_type": "obligation", "summary": "Until the Board of the Competent Authority is fully constituted, the existing board or governing body of the Previous Regulatory Body shall continue to function.", "core_obligation": { "actor": "Existing board or governing body", "action": "continue to function", "modality": "shall", "object": "governance functions", "conditions": [ "until the Board of the Competent Authority is fully constituted under this Act" ] }, "applicability": "Existing board or governing body of the Previous Regulatory Body.", "severity": "high", "category": "Transitional Governance", "source_ref": { "page": 80, "clause": "Section 81.11(a)(i)", "text_snippet": "Until the Board of the Competent Authority is fully constituted under this Act: (i) The existing board or governing body of the [Previous Regulatory Body] shall continue to function." } }, { "rule_id": "STD-2024-081.11a", "title": "Interim Governance Arrangements", "rule_type": "obligation", "summary": "Until the new Board is constituted, the existing board of the Previous Regulatory Body shall continue to function, and the Minister may appoint an interim Chief Executive.", "core_obligation": { "actor": "Existing board / Minister", "action": "maintain interim governance", "modality": "shall / may", "object": "governance continuity during transition", "conditions": [ "existing board continues to function until new Board constituted", "Minister may appoint interim Chief Executive" ] }, "applicability": "Previous Regulatory Body board and Minister during governance transition.", "severity": "high", "category": "Governance", "source_ref": { "page": 80, "clause": "Section 81.11(a)", "text_snippet": "Until the Board of the Competent Authority is fully constituted under this Act: (i) The existing board or governing body of the [Previous Regulatory Body] shall continue to function. (ii) The Minister may appoint an interim Chief Executive to manage the transition." } }, { "rule_id": "STD-2024-081.11b", "title": "Transitional Governance Time Limit", "rule_type": "obligation", "summary": "Transitional governance arrangements must not exceed 6 months from the date the Act comes into force.", "core_obligation": { "actor": "Minister / Competent Authority", "action": "complete governance transition", "modality": "shall not exceed", "object": "transitional governance period", "conditions": [ "6 months from date Act comes into force" ] }, "applicability": "All parties involved in governance transition.", "severity": "high", "category": "Governance", "source_ref": { "page": 80, "clause": "Section 81.11(b)", "text_snippet": "The transitional governance arrangements shall not exceed 6 months from the date this Act comes into force." } }, { "rule_id": "STD-2024-081.13a", "title": "Transitional Regulations Power", "rule_type": "power", "summary": "The Minister may make transitional regulations to address matters not provided for, resolve difficulties, and ensure effective implementation during transition.", "core_obligation": { "actor": "Minister", "action": "make transitional regulations", "modality": "may", "object": "transitional regulations", "conditions": [ "to address matters not sufficiently provided for", "to resolve difficulties in transition", "to ensure effective implementation during transitional period" ] }, "applicability": "Minister during transitional period.", "severity": "medium", "category": "Regulatory Power", "source_ref": { "page": 80, "clause": "Section 81.13(a)", "text_snippet": "The Minister may make transitional regulations to: (i) Address any matters not sufficiently provided for in these transitional provisions; (ii) Resolve any difficulties arising in the transition to the new regulatory regime; (iii) Ensure the effective implementation of this Act during the transitional period." } }, { "rule_id": "STD-2024-081.13b", "title": "Transitional Regulations Procedural Requirements", "rule_type": "obligation", "summary": "Transitional regulations must be made within 12 months, laid before Parliament within 14 days, and cease after 24 months unless confirmed by Parliament.", "core_obligation": { "actor": "Minister", "action": "comply with procedural requirements for transitional regulations", "modality": "shall", "object": "transitional regulations", "conditions": [ "made within 12 months of Act coming into force", "laid before Parliament within 14 days of being made", "cease to have effect after 24 months unless confirmed by Parliament" ] }, "applicability": "Minister when making transitional regulations.", "severity": "high", "category": "Regulatory Procedure", "source_ref": { "page": 80, "clause": "Section 81.13(b)", "text_snippet": "Such transitional regulations shall: (i) Be made within 12 months of this Act coming into force; (ii) Be laid before Parliament within 14 days of being made; (iii) Cease to have effect after 24 months unless confirmed by Parliament." } }, { "rule_id": "STD-2024-081.15a", "title": "Savings Clause for Previous Actions", "rule_type": "obligation", "summary": "Nothing in the Act shall invalidate lawful actions taken under the repealed Act, accrued rights or liabilities, or legal proceedings commenced before repeal.", "core_obligation": { "actor": "All parties", "action": "preserve validity of previous lawful actions", "modality": "shall not invalidate", "object": "actions, rights, liabilities, and proceedings under previous Act", "conditions": [ "lawfully taken under repealed Act", "rights or liabilities accrued under repealed Act", "legal proceedings commenced before repeal" ] }, "applicability": "All parties with actions, rights, or proceedings under previous Act.", "severity": "high", "category": "Legal Continuity", "source_ref": { "page": 80, "clause": "Section 81.15(a)", "text_snippet": "Nothing in this Act shall be taken to invalidate: (i) Any action lawfully taken under the repealed [Previous Act]; (ii) Any rights or liabilities accrued under the repealed Act; (iii) Any legal proceedings commenced before the repeal of the previous Act." } }, { "rule_id": "STD-2024-081.15b", "title": "Reference Construction Rule", "rule_type": "definition", "summary": "References to the repealed Act or Previous Regulatory Body in other laws or documents shall be construed as references to this Act or the Competent Authority.", "core_obligation": { "actor": "All parties interpreting legal references", "action": "construe references to previous Act/Body as new Act/Authority", "modality": "shall be construed", "object": "legal references in other laws or documents", "conditions": [ "unless context requires otherwise" ] }, "applicability": "All parties interpreting references in laws or documents.", "severity": "medium", "category": "Interpretation", "source_ref": { "page": 80, "clause": "Section 81.15(b)", "text_snippet": "References in any other law or document to the repealed [Previous Act] or the [Previous Regulatory Body] shall be construed as references to this Act or the Competent Authority, respectively, unless the context requires otherwise." } }, { "rule_id": "STD-2024-081.1a", "title": "Continuation of Existing Regulatory Body", "rule_type": "obligation", "summary": "The existing regulatory body shall continue to function until the new Competent Authority is fully operational.", "core_obligation": { "actor": "Existing regulatory body", "action": "continue to function", "modality": "shall", "object": "regulatory operations", "conditions": [ "until the Competent Authority established under this Act is fully operational" ] }, "applicability": "Existing regulatory body during transition period.", "severity": "critical", "category": "Transitional Governance", "source_ref": { "page": 80, "clause": "Section 81.1(a)", "text_snippet": "The [existing regulatory body] shall continue to function until the Competent Authority established under this Act is fully operational." } }, { "rule_id": "STD-2024-081.1b", "title": "Transfer of Assets, Liabilities, and Staff", "rule_type": "obligation", "summary": "All assets, liabilities, and staff of the existing body shall be transferred to the new Authority on a date specified by the Minister.", "core_obligation": { "actor": "Existing regulatory body", "action": "transfer assets, liabilities, and staff", "modality": "shall", "object": "all assets, liabilities, and staff", "conditions": [ "on a date specified by the Minister" ] }, "applicability": "Existing regulatory body and new Competent Authority.", "severity": "critical", "category": "Institutional Transition", "source_ref": { "page": 80, "clause": "Section 81.1(b)", "text_snippet": "All assets, liabilities, and staff of the existing body shall be transferred to the new Authority on a date specified by the Minister." } }, { "rule_id": "STD-2024-081.1c", "title": "Transition Committee Oversight", "rule_type": "obligation", "summary": "The transfer process shall be overseen by a Transition Committee appointed by the Minister, which must conduct audits, develop integration plans, and ensure continuity.", "core_obligation": { "actor": "Transition Committee", "action": "oversee transfer process", "modality": "shall", "object": "transfer process", "conditions": [ "conduct an audit of assets and liabilities", "develop a staff transfer and integration plan", "ensure continuity of ongoing regulatory functions during the transition" ] }, "applicability": "Transition Committee appointed by the Minister.", "severity": "high", "category": "Institutional Transition", "source_ref": { "page": 80, "clause": "Section 81.1(c)", "text_snippet": "The transfer process shall be overseen by a Transition Committee appointed by the Minister, which shall: (i) Conduct an audit of assets and liabilities; (ii) Develop a staff transfer and integration plan; and (iii) Ensure continuity..." } }, { "rule_id": "STD-2024-081.2a", "title": "Validity of Existing Regulations", "rule_type": "obligation", "summary": "All regulations, orders, and guidelines issued under previous legislation shall remain in force if consistent with this Act and be reviewed within 18 months.", "core_obligation": { "actor": "Competent Authority", "action": "maintain and review existing regulations", "modality": "shall", "object": "regulations, orders, and guidelines", "conditions": [ "remain in force to the extent they are consistent with this Act", "be deemed to have been issued under this Act", "be reviewed and updated within 18 months to ensure full alignment with this Act" ] }, "applicability": "All existing regulations, orders, and guidelines.", "severity": "high", "category": "Regulatory Continuity", "source_ref": { "page": 80, "clause": "Section 81.2(a)", "text_snippet": "All regulations, orders, and guidelines issued under previous legislation shall: (i) Remain in force to the extent they are consistent with this Act; (ii) Be deemed to have been issued under this Act; and (iii) Be reviewed and updated within 18 months..." } }, { "rule_id": "STD-2024-081.2b", "title": "Supremacy of New Act Provisions", "rule_type": "obligation", "summary": "Where inconsistencies exist between previous regulations and this Act, the provisions of this Act shall prevail.", "core_obligation": { "actor": "All parties", "action": "apply provisions of this Act", "modality": "shall", "object": "Act provisions", "conditions": [ "where inconsistencies exist with previous regulations" ] }, "applicability": "All regulated entities and the Competent Authority.", "severity": "high", "category": "Legal Hierarchy", "source_ref": { "page": 80, "clause": "Section 81.2(b)", "text_snippet": "Where inconsistencies exist, the provisions of this Act shall prevail." } }, { "rule_id": "STD-2024-081.3a", "title": "Validity of Existing Licenses", "rule_type": "obligation", "summary": "Existing licenses and authorisations shall remain valid until their original expiry date and be subject to renewal under this Act.", "core_obligation": { "actor": "Competent Authority", "action": "recognize existing licenses", "modality": "shall", "object": "existing licenses and authorisations", "conditions": [ "remain valid until their original expiry date", "be subject to renewal under the provisions of this Act" ] }, "applicability": "All existing license and authorisation holders.", "severity": "high", "category": "Licensing Continuity", "source_ref": { "page": 80, "clause": "Section 81.3(a)", "text_snippet": "Existing licenses and authorisations shall: (i) Remain valid until their original expiry date; (ii) Be subject to renewal under the provisions of this Act." } }, { "rule_id": "STD-2024-081.3b-i", "title": "Registration Requirement for Existing License Holders", "rule_type": "obligation", "summary": "Holders of existing licenses shall register with the Competent Authority within 90 days of the Act's effective date.", "core_obligation": { "actor": "Holders of existing licenses", "action": "register with the Competent Authority", "modality": "shall", "object": "registration", "conditions": [ "within 90 days of the Act's effective date" ] }, "applicability": "All existing license holders.", "severity": "high", "category": "Compliance", "source_ref": { "page": 80, "clause": "Section 81.3(b)(i)", "text_snippet": "Holders of existing licenses shall: (i) Register with the Competent Authority within 90 days of the Act's effective date..." } }, { "rule_id": "STD-2024-081.3b-ii", "title": "Compliance Plan Submission Requirement", "rule_type": "obligation", "summary": "Existing license holders shall submit a compliance plan outlining how they will meet new requirements within 180 days.", "core_obligation": { "actor": "Holders of existing licenses", "action": "submit a compliance plan", "modality": "shall", "object": "compliance plan", "conditions": [ "outlining how they will meet any new requirements", "within 180 days" ] }, "applicability": "All existing license holders.", "severity": "high", "category": "Compliance", "source_ref": { "page": 80, "clause": "Section 81.3(b)(ii)", "text_snippet": "Submit a compliance plan outlining how they will meet any new requirements within 180 days." } }, { "rule_id": "STD-2024-081.3c", "title": "Temporary Waiver Power", "rule_type": "power", "summary": "The Competent Authority may grant temporary waivers, not exceeding 12 months, for specific new requirements where immediate compliance would cause undue hardship.", "core_obligation": { "actor": "Competent Authority", "action": "grant temporary waivers", "modality": "may", "object": "waivers for specific new requirements", "conditions": [ "not exceeding 12 months", "where immediate compliance would cause undue hardship" ] }, "applicability": "Competent Authority in relation to regulated entities facing hardship.", "severity": "medium", "category": "Regulatory Flexibility", "source_ref": { "page": 80, "clause": "Section 81.3(c)", "text_snippet": "The Competent Authority may grant temporary waivers, not exceeding 12 months, for specific new requirements where immediate compliance would cause undue hardship." } }, { "rule_id": "STD-2024-081.4b", "title": "Continuation of Ongoing Proceedings", "rule_type": "obligation", "summary": "Ongoing investigations, enforcement actions, or legal proceedings shall continue under the previous legislation until concluded, conducted by the Competent Authority.", "core_obligation": { "actor": "Competent Authority", "action": "continue ongoing proceedings", "modality": "shall", "object": "investigations, enforcement actions, or legal proceedings", "conditions": [ "continue under the previous legislation until concluded", "be conducted by the Competent Authority, which shall assume the role of the previous regulatory body" ] }, "applicability": "All ongoing investigations, enforcement actions, or legal proceedings.", "severity": "high", "category": "Enforcement Continuity", "source_ref": { "page": 80, "clause": "Section 81.4(b)", "text_snippet": "Ongoing investigations, enforcement actions, or legal proceedings shall: (i) Continue under the previous legislation until concluded; (ii) Be conducted by the Competent Authority..." } }, { "rule_id": "STD-2024-081.5", "title": "Compliance Timeframes for New Requirements", "rule_type": "obligation", "summary": "Regulated entities must comply with new requirements within specified timeframes: 6 months for administrative/reporting, 12 months for operational/technical, and 24 months for structural/systemic changes.", "core_obligation": { "actor": "Regulated entities", "action": "comply with new requirements", "modality": "shall", "object": "administrative, operational, technical, structural, and systemic requirements", "conditions": [ "6 months for administrative and reporting requirements", "12 months for operational or technical standards", "24 months for significant structural or systemic changes" ] }, "applicability": "All regulated entities subject to new requirements under this Act during transitional period.", "severity": "high", "category": "Compliance", "source_ref": { "page": 80, "clause": "Section 81.5(a) and 81.12(a)", "text_snippet": "regulated entities shall have: (i) 6 months to comply with administrative and reporting requirements. (ii) 12 months to comply with new operational or technical standards. (iii) 24 months to comply with significant structural or systemic changes." } }, { "rule_id": "STD-2024-081.5a-i", "title": "Adaptation Period - Administrative Requirements", "rule_type": "obligation", "summary": "Regulated entities shall have 6 months to comply with new administrative and reporting requirements.", "core_obligation": { "actor": "Regulated entities", "action": "comply with administrative and reporting requirements", "modality": "shall", "object": "new administrative and reporting requirements", "conditions": [ "within 6 months" ] }, "applicability": "All regulated entities subject to new administrative and reporting requirements.", "severity": "medium", "category": "Compliance Timeline", "source_ref": { "page": 80, "clause": "Section 81.5(a)(i)", "text_snippet": "For new obligations introduced by this Act, regulated entities shall have: (i) 6 months to comply with administrative and reporting requirements." } }, { "rule_id": "STD-2024-081.5a-ii", "title": "Adaptation Period - Operational Standards", "rule_type": "obligation", "summary": "Regulated entities shall have 12 months to comply with new operational or technical standards.", "core_obligation": { "actor": "Regulated entities", "action": "comply with operational or technical standards", "modality": "shall", "object": "new operational or technical standards", "conditions": [ "within 12 months" ] }, "applicability": "All regulated entities subject to new operational or technical standards.", "severity": "medium", "category": "Compliance Timeline", "source_ref": { "page": 80, "clause": "Section 81.5(a)(ii)", "text_snippet": "12 months to comply with new operational or technical standards." } }, { "rule_id": "STD-2024-081.5a-iii", "title": "Adaptation Period - Structural Changes", "rule_type": "obligation", "summary": "Regulated entities shall have 24 months to comply with significant structural or systemic changes.", "core_obligation": { "actor": "Regulated entities", "action": "comply with structural or systemic changes", "modality": "shall", "object": "significant structural or systemic changes", "conditions": [ "within 24 months" ] }, "applicability": "All regulated entities subject to significant structural or systemic changes.", "severity": "high", "category": "Compliance Timeline", "source_ref": { "page": 80, "clause": "Section 81.5(a)(iii)", "text_snippet": "24 months to comply with significant structural or systemic changes." } }, { "rule_id": "STD-2024-081.5b", "title": "Extension Power for Adaptation Periods", "rule_type": "power", "summary": "The Competent Authority may grant extensions to adaptation periods on a case-by-case basis where justified by exceptional circumstances.", "core_obligation": { "actor": "Competent Authority", "action": "grant extensions", "modality": "may", "object": "adaptation period extensions", "conditions": [ "on a case-by-case basis", "where justified by exceptional circumstances" ] }, "applicability": "Competent Authority in relation to regulated entities facing exceptional circumstances.", "severity": "medium", "category": "Regulatory Flexibility", "source_ref": { "page": 80, "clause": "Section 81.5(b)", "text_snippet": "The Competent Authority may grant extensions on a case-by-case basis where justified by exceptional circumstances." } }, { "rule_id": "STD-2024-081.5b", "title": "Extension Power for Compliance Deadlines", "rule_type": "power", "summary": "The Competent Authority may grant case-by-case extensions to compliance deadlines where justified by exceptional circumstances.", "core_obligation": { "actor": "Competent Authority", "action": "grant extensions to compliance deadlines", "modality": "may", "object": "compliance timeframes", "conditions": [ "on a case-by-case basis", "where justified by exceptional circumstances" ] }, "applicability": "Competent Authority when assessing requests for compliance deadline extensions.", "severity": "medium", "category": "Administrative Discretion", "source_ref": { "page": 80, "clause": "Section 81.5(b) and 81.12(b)", "text_snippet": "The Competent Authority may grant extensions on a case-by-case basis where justified by exceptional circumstances." } }, { "rule_id": "STD-2024-081.6a", "title": "Grandfathering Eligibility Criteria", "rule_type": "power", "summary": "Certain existing facilities or practices may be exempted from specific new requirements if they meet specified criteria including lawful establishment and no immediate risk.", "core_obligation": { "actor": "Competent Authority", "action": "exempt existing facilities or practices", "modality": "may", "object": "existing facilities or practices", "conditions": [ "they were lawfully established under previous legislation", "immediate compliance would require unreasonable or impractical modifications", "they do not pose an immediate risk to public safety or the environment" ] }, "applicability": "Existing facilities or practices meeting specified criteria.", "severity": "medium", "category": "Grandfathering", "source_ref": [ { "page": 80, "clause": "Section 81.6(a)", "text_snippet": "Certain existing facilities or practices may be exempted from specific new requirements if: (i) They were lawfully established under previous legislation; (ii) Immediate compliance would require unreasonable or impractical modifications; (iii) They do not pose an immediate risk...", "_origin_rule_id": "STD-2024-081.6a" }, { "page": 80, "clause": "Section 81.6(a)", "text_snippet": "Certain existing facilities or practices may be exempted from specific new requirements if: (i) They were lawfully established under previous legislation; (ii) Immediate compliance would require unreasonable or impractical modifications; (iii) They do not pose an immediate risk to public safety or the environment.", "_origin_rule_id": "STD-2024-081.6a" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-081.6b", "title": "Grandfathering Exemption Requirements", "rule_type": "obligation", "summary": "Grandfathering exemptions shall be explicitly granted by the Competent Authority, subject to periodic review at least every 3 years, and include conditions for gradual adaptation.", "core_obligation": { "actor": "Competent Authority", "action": "grant and review exemptions", "modality": "shall", "object": "grandfathering exemptions", "conditions": [ "be explicitly granted by the Competent Authority", "be subject to periodic review, at least every 3 years", "include conditions for gradual adaptation to new standards where feasible" ] }, "applicability": "All grandfathering exemptions granted under Section 81.6(a).", "severity": "medium", "category": "Grandfathering", "source_ref": [ { "page": 80, "clause": "Section 81.6(b)", "text_snippet": "Such exemptions shall: (i) Be explicitly granted by the Competent Authority; (ii) Be subject to periodic review, at least every 3 years; and (iii) Include conditions for gradual adaptation to new standards where feasible.", "_origin_rule_id": "STD-2024-081.6b" }, { "page": 80, "clause": "Section 81.6(b)", "text_snippet": "Such exemptions shall: (i) Be explicitly granted by the Competent Authority; (ii) Be subject to periodic review, at least every 3 years; and (iii) Include conditions for gradual adaptation to new standards where feasible.", "_origin_rule_id": "STD-2024-081.6b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-081.7a", "title": "Transitional Funding Obligation", "rule_type": "obligation", "summary": "The government shall provide additional funding to the Competent Authority for institutional transition costs, system development, and training.", "core_obligation": { "actor": "Government", "action": "provide additional funding", "modality": "shall", "object": "transitional funding", "conditions": [ "for costs associated with the institutional transition", "for development of new systems and processes required by the Act", "for training and capacity building for staff and regulated entities" ] }, "applicability": "Government obligation to the Competent Authority.", "severity": "high", "category": "Financial Support", "source_ref": { "page": 80, "clause": "Section 81.7(a)", "text_snippet": "The government shall provide additional funding to the Competent Authority for: (i) Costs associated with the institutional transition; (ii) Development of new systems and processes required by the Act; and (iii) Training and capacity building..." } }, { "rule_id": "STD-2024-081.7a", "title": "Government Transitional Funding Obligation", "rule_type": "obligation", "summary": "The government must provide additional funding to the Competent Authority for institutional transition costs, system development, and training.", "core_obligation": { "actor": "Government", "action": "provide additional funding", "modality": "shall", "object": "transitional funding to Competent Authority", "conditions": [ "for institutional transition costs", "for development of new systems and processes", "for training and capacity building" ] }, "applicability": "Government during transitional period.", "severity": "high", "category": "Financial", "source_ref": { "page": 80, "clause": "Section 81.7(a)", "text_snippet": "The government shall provide additional funding to the Competent Authority for: (i) Costs associated with the institutional transition; (ii) Development of new systems and processes required by the Act; and (iii) Training and capacity building for staff and regulated entities." } }, { "rule_id": "STD-2024-081.7b", "title": "Transitional Funding Terms", "rule_type": "obligation", "summary": "Transitional funding shall be allocated for 3 years, subject to annual review, and reported separately in the Authority's financial statements.", "core_obligation": { "actor": "Government and Competent Authority", "action": "manage transitional funding", "modality": "shall", "object": "transitional funding", "conditions": [ "allocated for a period of 3 years", "subject to annual review and adjustment based on demonstrated needs", "reported on separately in the Authority's annual financial statements" ] }, "applicability": "Government and Competent Authority regarding transitional funding.", "severity": "medium", "category": "Financial Management", "source_ref": { "page": 80, "clause": "Section 81.7(b)", "text_snippet": "This transitional funding shall be: (i) Allocated for a period of 3 years; (ii) Subject to annual review and adjustment based on demonstrated needs; (iii) Reported on separately in the Authority's annual financial statements." } }, { "rule_id": "STD-2024-081.7b", "title": "Transitional Funding Conditions", "rule_type": "obligation", "summary": "Transitional funding must be allocated for 3 years, subject to annual review, and reported separately in financial statements.", "core_obligation": { "actor": "Government and Competent Authority", "action": "manage transitional funding", "modality": "shall", "object": "transitional funding allocation and reporting", "conditions": [ "allocated for period of 3 years", "subject to annual review and adjustment based on demonstrated needs", "reported separately in Authority's annual financial statements" ] }, "applicability": "Government and Competent Authority managing transitional funding.", "severity": "medium", "category": "Financial", "source_ref": { "page": 80, "clause": "Section 81.7(b)", "text_snippet": "This transitional funding shall be: (i) Allocated for a period of 3 years; (ii) Subject to annual review and adjustment based on demonstrated needs; (iii) Reported on separately in the Authority's annual financial statements." } }, { "rule_id": "STD-2024-081.8a", "title": "Independent Review of Transitional Arrangements", "rule_type": "obligation", "summary": "The Minister shall appoint an independent expert to review the implementation of transitional provisions after 18 months and recommend adjustments.", "core_obligation": { "actor": "Minister", "action": "appoint independent expert for review", "modality": "shall", "object": "independent expert review", "conditions": [ "review the implementation of transitional provisions after 18 months", "assess any ongoing transitional challenges or unintended consequences", "recommend any necessary adjustments to transitional arrangements" ] }, "applicability": "Minister's obligation for oversight of transitional implementation.", "severity": "medium", "category": "Oversight", "source_ref": { "page": 80, "clause": "Section 81.8(a)", "text_snippet": "The Minister shall appoint an independent expert to: (i) Review the implementation of transitional provisions after 18 months; (ii) Assess any ongoing transitional challenges or unintended consequences; and (iii) Recommend any necessary adjustments..." } }, { "rule_id": "STD-2024-081.8a", "title": "Independent Review Appointment Obligation", "rule_type": "obligation", "summary": "The Minister must appoint an independent expert to review transitional provisions after 18 months and assess challenges and recommend adjustments.", "core_obligation": { "actor": "Minister", "action": "appoint independent expert for review", "modality": "shall", "object": "independent expert review of transitional provisions", "conditions": [ "review implementation after 18 months", "assess ongoing transitional challenges or unintended consequences", "recommend necessary adjustments" ] }, "applicability": "Minister responsible for oversight of transitional arrangements.", "severity": "high", "category": "Oversight", "source_ref": { "page": 80, "clause": "Section 81.8(a) and 81.14(a)", "text_snippet": "The Minister shall appoint an independent expert to: (i) Review the implementation of transitional provisions after 18 months; (ii) Assess any ongoing transitional challenges or unintended consequences; and (iii) Recommend any necessary adjustments to transitional arrangements." } }, { "rule_id": "STD-2024-081.8b", "title": "Review Report Publication Requirements", "rule_type": "obligation", "summary": "The transitional review report shall be submitted to Parliament, published on the Ministry's website, and used to inform amendments.", "core_obligation": { "actor": "Minister", "action": "publish and submit review report", "modality": "shall", "object": "review report", "conditions": [ "submitted to Parliament", "published on the Ministry's website", "used to inform any necessary amendments to the Act or regulations" ] }, "applicability": "Minister's reporting obligations regarding transitional review.", "severity": "medium", "category": "Transparency", "source_ref": [ { "page": 80, "clause": "Section 81.8(b)", "text_snippet": "This review report shall be: (i) Submitted to Parliament; (ii) Published on the Ministry's website; and (iii) Used to inform any necessary amendments to the Act or regulations.", "_origin_rule_id": "STD-2024-081.8b" }, { "page": 80, "clause": "Section 81.8(b) and 81.14(b)", "text_snippet": "This review report shall be: (i) Submitted to Parliament; (ii) Published on the Ministry's website; and (iii) Used to inform any necessary amendments to the Act or regulations.", "_origin_rule_id": "STD-2024-081.8b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-081.9a", "title": "Transfer of Assets and Liabilities", "rule_type": "obligation", "summary": "All assets, rights, and liabilities of the Previous Regulatory Body shall be transferred to the Competent Authority.", "core_obligation": { "actor": "Previous Regulatory Body", "action": "transfer assets, rights, and liabilities", "modality": "shall", "object": "all assets, rights, and liabilities", "conditions": [ "to the Competent Authority established under this Act" ] }, "applicability": "Previous Regulatory Body and Competent Authority.", "severity": "critical", "category": "Institutional Transition", "source_ref": { "page": 80, "clause": "Section 81.9(a)", "text_snippet": "All assets, rights, and liabilities of the [Previous Regulatory Body] shall be transferred to the Competent Authority established under this Act." } }, { "rule_id": "STD-2024-081.9a", "title": "Asset and Liability Transfer Obligation", "rule_type": "obligation", "summary": "All assets, rights, and liabilities of the Previous Regulatory Body must be transferred to the Competent Authority.", "core_obligation": { "actor": "Previous Regulatory Body / Competent Authority", "action": "transfer all assets, rights, and liabilities", "modality": "shall", "object": "assets, rights, and liabilities", "conditions": [ "from Previous Regulatory Body to Competent Authority" ] }, "applicability": "Previous Regulatory Body and Competent Authority during institutional transition.", "severity": "critical", "category": "Institutional Transition", "source_ref": { "page": 80, "clause": "Section 81.9(a)", "text_snippet": "All assets, rights, and liabilities of the [Previous Regulatory Body] shall be transferred to the Competent Authority established under this Act." } }, { "rule_id": "STD-2024-081.9b", "title": "Asset and Liability Inventory Requirement", "rule_type": "obligation", "summary": "A detailed inventory of transferred assets and liabilities shall be prepared within 90 days of this Act coming into force.", "core_obligation": { "actor": "Competent Authority", "action": "prepare detailed inventory", "modality": "shall", "object": "inventory of transferred assets and liabilities", "conditions": [ "within 90 days of this Act coming into force" ] }, "applicability": "Competent Authority during transition.", "severity": "high", "category": "Administrative Compliance", "source_ref": [ { "page": 80, "clause": "Section 81.9(b)", "text_snippet": "A detailed inventory of transferred assets and liabilities shall be prepared within 90 days of this Act coming into force.", "_origin_rule_id": "STD-2024-081.9b" }, { "page": 80, "clause": "Section 81.9(b)", "text_snippet": "A detailed inventory of transferred assets and liabilities shall be prepared within 90 days of this Act coming into force.", "_origin_rule_id": "STD-2024-081.9b" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-082", "title": "Exhaustion of Dispute Resolution Before Judicial Intervention", "rule_type": "obligation", "summary": "Authorities must exhaust the RCC dispute resolution mechanism before seeking judicial intervention in inter-agency conflicts.", "core_obligation": { "actor": "Authorities", "action": "exhaust dispute resolution mechanism", "modality": "shall", "object": "RCC dispute resolution mechanism", "conditions": [ "before seeking judicial intervention in inter-agency conflicts" ] }, "applicability": "Authorities involved in inter-agency disputes.", "severity": "high", "category": "Dispute Resolution", "source_ref": { "page": 43, "clause": "Section 61.6(b)", "text_snippet": "Authorities shall exhaust this dispute resolution mechanism before seeking judicial intervention in inter-agency conflicts" } }, { "rule_id": "STD-2024-082.1", "title": "Repeal of Previous Legislation", "rule_type": "obligation", "summary": "The Previous Act is repealed in its entirety, along with subsidiary legislation made under it, except as provided in transitional provisions.", "core_obligation": { "actor": "Legislative instrument", "action": "repeal", "modality": "is hereby repealed", "object": "Previous Act and subsidiary legislation", "conditions": [ "except as provided for in the transitional provisions of this Act" ] }, "applicability": "All provisions of the Previous Act and its subsidiary legislation.", "severity": "critical", "category": "Legislative Framework", "source_ref": { "page": 82, "clause": "Section 82.1", "text_snippet": "The [Previous Act] is hereby repealed in its entirety. Any subsidiary legislation made under the repealed Act is also repealed, except as provided for in the transitional provisions..." } }, { "rule_id": "STD-2024-082.2", "title": "Consequential Amendments to Related Acts", "rule_type": "obligation", "summary": "Related Acts must be amended to replace references to Previous Regulatory Body with Competent Authority, delete specified sections, and insert new provisions.", "core_obligation": { "actor": "Legislative instrument", "action": "amend related legislation", "modality": "is amended", "object": "Related Act 1 and Related Act 2", "conditions": [ "replace 'Previous Regulatory Body' with 'Competent Authority'", "delete specified sections", "insert new subsections and definitions" ] }, "applicability": "Related Act 1 and Related Act 2 as specified.", "severity": "high", "category": "Legislative Framework", "source_ref": { "page": 82, "clause": "Section 82.2", "text_snippet": "The [Related Act 1] is amended as follows: (i) In Section X, replace 'Previous Regulatory Body' with 'Competent Authority'..." } }, { "rule_id": "STD-2024-082.3", "title": "Interpretation of References in Other Legislation", "rule_type": "obligation", "summary": "References to the repealed Previous Act or Previous Regulatory Body in any other legislation shall be construed as references to this Act and the Competent Authority respectively.", "core_obligation": { "actor": "All interpreters of legislation", "action": "construe references", "modality": "shall be construed", "object": "references to Previous Act and Previous Regulatory Body", "conditions": [ "as reference to this Act", "as reference to Competent Authority" ] }, "applicability": "All Acts and subsidiary legislation containing references to repealed provisions or bodies.", "severity": "high", "category": "Legislative Interpretation", "source_ref": { "page": 82, "clause": "Section 82.3", "text_snippet": "Any reference in any other Act or subsidiary legislation to the repealed [Previous Act] shall be construed as a reference to this Act..." } }, { "rule_id": "STD-2024-082.4a", "title": "Preservation of Specified Regulations", "rule_type": "obligation", "summary": "Specified regulations made under the Previous Act shall continue in force as if made under this Act, notwithstanding the repeal.", "core_obligation": { "actor": "Preserved regulations", "action": "continue in force", "modality": "shall continue", "object": "specified regulations (Regulation 1, 2, and 3)", "conditions": [ "notwithstanding the repeal of the Previous Act", "as if made under this Act" ] }, "applicability": "Title of Regulation 1, Title of Regulation 2, and Title of Regulation 3.", "severity": "high", "category": "Transitional Provisions", "source_ref": { "page": 82, "clause": "Section 82.4(a)", "text_snippet": "Notwithstanding the repeal of the [Previous Act], the following regulations made under that Act shall continue in force as if made under this Act..." } }, { "rule_id": "STD-2024-082.4b", "title": "Review of Preserved Regulations", "rule_type": "obligation", "summary": "Preserved regulations shall be reviewed and, if necessary, amended within 12 months to ensure consistency with this Act.", "core_obligation": { "actor": "Competent Authority/Minister", "action": "review and amend preserved regulations", "modality": "shall be reviewed", "object": "preserved regulations", "conditions": [ "within 12 months", "if necessary to ensure consistency with this Act" ] }, "applicability": "All preserved regulations under Section 82.4(a).", "severity": "high", "category": "Compliance", "source_ref": { "page": 82, "clause": "Section 82.4(b)", "text_snippet": "These preserved regulations shall be reviewed and, if necessary, amended within 12 months to ensure consistency with this Act." } }, { "rule_id": "STD-2024-082.5a", "title": "Ministerial Power to Amend Schedules", "rule_type": "power", "summary": "The Minister may amend any Schedule to this Act by order published in the Gazette.", "core_obligation": { "actor": "Minister", "action": "amend Schedules", "modality": "may", "object": "any Schedule to this Act", "conditions": [ "by order published in the Gazette" ] }, "applicability": "All Schedules to this Act.", "severity": "medium", "category": "Administrative Powers", "source_ref": { "page": 82, "clause": "Section 82.5(a)", "text_snippet": "The Minister may, by order published in the Gazette, amend any Schedule to this Act." } }, { "rule_id": "STD-2024-082.5b", "title": "Parliamentary Procedure for Schedule Amendments", "rule_type": "obligation", "summary": "Orders amending Schedules shall be laid before Parliament within 14 days and come into effect 30 days after being laid, unless Parliament resolves otherwise.", "core_obligation": { "actor": "Minister", "action": "lay order before Parliament and allow time for effect", "modality": "shall", "object": "order amending Schedule", "conditions": [ "laid before Parliament within 14 days of publication", "comes into effect 30 days after being laid", "unless Parliament resolves otherwise" ] }, "applicability": "All orders made under Section 82.5(a).", "severity": "high", "category": "Parliamentary Procedure", "source_ref": { "page": 82, "clause": "Section 82.5(b)", "text_snippet": "An order made under this section shall: (i) Be laid before Parliament within 14 days of publication; (ii) Come into effect 30 days after being laid before Parliament..." } }, { "rule_id": "STD-2024-082.6a", "title": "Ministerial Power to Make Consequential and Transitional Regulations", "rule_type": "power", "summary": "The Minister may make regulations to amend any enactment consequential to this Act and to provide for additional transitional or saving provisions.", "core_obligation": { "actor": "Minister", "action": "make regulations", "modality": "may", "object": "consequential amendments and transitional provisions", "conditions": [ "to amend any enactment consequential to the coming into force of this Act", "to provide for transitional or saving provisions in addition to or in substitution for provisions in this Part" ] }, "applicability": "Any enactment affected by the coming into force of this Act.", "severity": "medium", "category": "Administrative Powers", "source_ref": { "page": 82, "clause": "Section 82.6(a)", "text_snippet": "The Minister may make regulations: (i) To amend any enactment consequential to the coming into force of this Act; (ii) To provide for any transitional or saving provisions..." } }, { "rule_id": "STD-2024-082.6b", "title": "Time Limitation on Regulation-Making Power", "rule_type": "obligation", "summary": "The power to make consequential and transitional regulations expires two years after the commencement of this Act.", "core_obligation": { "actor": "Minister", "action": "exercise regulation-making power within time limit", "modality": "expires", "object": "power to make regulations under Section 82.6(a)", "conditions": [ "two years after the commencement of this Act" ] }, "applicability": "Regulation-making power under Section 82.6(a).", "severity": "medium", "category": "Administrative Powers", "source_ref": { "page": 82, "clause": "Section 82.6(b)", "text_snippet": "The power to make regulations under this section expires two years after the commencement of this Act." } }, { "rule_id": "STD-2024-083", "title": "Publication of Dispute Resolution Reports", "rule_type": "obligation", "summary": "The RCC must publish annual reports on the nature and outcomes of disputes resolved through the dispute resolution mechanism.", "core_obligation": { "actor": "RCC", "action": "publish annual reports", "modality": "shall", "object": "reports on nature and outcomes of disputes", "conditions": [ "annually" ] }, "applicability": "Regulatory Coordination Committee (RCC).", "severity": "medium", "category": "Transparency", "source_ref": { "page": 43, "clause": "Section 61.6(c)", "text_snippet": "The RCC shall publish annual reports on the nature and outcomes of disputes resolved through this mechanism" } }, { "rule_id": "STD-2024-083-001", "title": "Ministerial Power to Appoint Commencement Date", "rule_type": "power", "summary": "The Minister has the power to appoint the date on which this Act comes into force by notice in the Gazette.", "core_obligation": { "actor": "Minister", "action": "appoint commencement date by notice in Gazette", "modality": "may", "object": "date of commencement of the Act", "conditions": [ "notice must be published in the Gazette" ] }, "applicability": "Minister responsible for the Act", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.2(a)", "text_snippet": "This Act shall come into force on such date as the Minister may, by notice in the Gazette, appoint." } }, { "rule_id": "STD-2024-083-002", "title": "Differential Commencement of Provisions", "rule_type": "power", "summary": "Different provisions of the Act may be brought into force on different dates.", "core_obligation": { "actor": "Minister", "action": "bring different provisions into force on different dates", "modality": "may", "object": "provisions of the Act", "conditions": [] }, "applicability": "Minister responsible for the Act", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.2(b)", "text_snippet": "Different provisions of this Act may be brought into force on different dates." } }, { "rule_id": "STD-2024-083-003", "title": "Ministerial Power for Phased Implementation", "rule_type": "power", "summary": "The Minister may order phased implementation of the Act, specifying which provisions come into force at which times and to which categories of regulated entities they apply.", "core_obligation": { "actor": "Minister", "action": "provide for phased implementation by order", "modality": "may", "object": "implementation of Act provisions", "conditions": [ "must specify which provisions come into force at which times", "must specify to which categories of regulated entities different provisions apply and from when" ] }, "applicability": "Minister responsible for the Act", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.3(a)", "text_snippet": "The Minister may, by order, provide for the phased implementation of this Act, specifying: (i) Which provisions come into force at which times; (ii) To which categories of regulated entities different provisions apply and from when." } }, { "rule_id": "STD-2024-083-004", "title": "Parliamentary Laying Requirement for Phased Implementation Orders", "rule_type": "obligation", "summary": "Any order for phased implementation must be laid before Parliament.", "core_obligation": { "actor": "Minister", "action": "lay order before Parliament", "modality": "shall", "object": "phased implementation order", "conditions": [ "applies to any order for phased implementation" ] }, "applicability": "Minister issuing phased implementation orders", "severity": "high", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.3(b)(i)", "text_snippet": "Any order for phased implementation shall: (i) Be laid before Parliament" } }, { "rule_id": "STD-2024-083-005", "title": "Publication Requirement for Phased Implementation Orders", "rule_type": "obligation", "summary": "Any order for phased implementation must be published on the Ministry's website.", "core_obligation": { "actor": "Minister", "action": "publish order on Ministry's website", "modality": "shall", "object": "phased implementation order", "conditions": [ "applies to any order for phased implementation" ] }, "applicability": "Minister issuing phased implementation orders", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.3(b)(ii)", "text_snippet": "Any order for phased implementation shall: (ii) Be published on the Ministry's website" } }, { "rule_id": "STD-2024-083-006", "title": "Timeline Requirement for Phased Implementation Orders", "rule_type": "obligation", "summary": "Any order for phased implementation must provide clear timelines for full implementation of all provisions.", "core_obligation": { "actor": "Minister", "action": "provide clear timelines for full implementation", "modality": "shall", "object": "phased implementation order", "conditions": [ "timelines must cover all provisions" ] }, "applicability": "Minister issuing phased implementation orders", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.3(b)(iii)", "text_snippet": "Any order for phased implementation shall: (iii) Provide clear timelines for full implementation of all provisions." } }, { "rule_id": "STD-2024-083-007", "title": "Pre-commencement Appointment Power", "rule_type": "power", "summary": "The Minister may appoint persons to positions created by the Act before the Act commences.", "core_obligation": { "actor": "Minister", "action": "appoint persons to positions", "modality": "may", "object": "positions created by the Act", "conditions": [ "before commencement of any provision of the Act" ] }, "applicability": "Minister responsible for the Act", "severity": "low", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.4(a)(i)", "text_snippet": "The Minister may, before the commencement of any provision of this Act: (i) Appoint persons to positions created by this Act" } }, { "rule_id": "STD-2024-083-008", "title": "Pre-commencement Regulation-Making Power", "rule_type": "power", "summary": "The Minister may make regulations or issue guidelines necessary for implementation before the Act commences.", "core_obligation": { "actor": "Minister", "action": "make regulations or issue guidelines", "modality": "may", "object": "regulations or guidelines necessary for implementation", "conditions": [ "before commencement of any provision of the Act" ] }, "applicability": "Minister responsible for the Act", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.4(a)(ii)", "text_snippet": "The Minister may, before the commencement of any provision of this Act: (ii) Make regulations or issue guidelines necessary for the implementation of this Act" } }, { "rule_id": "STD-2024-083-009", "title": "Pre-commencement Preparatory Actions Power", "rule_type": "power", "summary": "The Minister may take any other preparatory actions necessary for smooth commencement before the Act comes into force.", "core_obligation": { "actor": "Minister", "action": "take preparatory actions", "modality": "may", "object": "any preparatory actions necessary for smooth commencement", "conditions": [ "before commencement of any provision of the Act" ] }, "applicability": "Minister responsible for the Act", "severity": "low", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.4(a)(iii)", "text_snippet": "The Minister may, before the commencement of any provision of this Act: (iii) Take any other preparatory actions necessary for the smooth commencement of this Act." } }, { "rule_id": "STD-2024-083-010", "title": "Delayed Effect of Pre-commencement Actions", "rule_type": "obligation", "summary": "Any action taken before commencement shall not take effect until the relevant provision of the Act comes into force.", "core_obligation": { "actor": "Minister", "action": "ensure pre-commencement actions do not take effect prematurely", "modality": "shall not", "object": "pre-commencement actions", "conditions": [ "actions shall not take effect until relevant provision comes into force" ] }, "applicability": "Minister taking pre-commencement actions", "severity": "medium", "category": "Administrative", "source_ref": { "page": 83, "clause": "Section 83.4(b)", "text_snippet": "Any action taken under this subsection shall not take effect until the relevant provision of the Act comes into force." } }, { "rule_id": "STD-2024-085", "title": "Notice of Violation Issuance Requirement", "rule_type": "obligation", "summary": "The Competent Authority must issue a notice of violation specifying the nature of violation, supporting evidence, proposed penalty calculation, and right to make representations.", "core_obligation": { "actor": "Competent Authority", "action": "issue notice of violation", "modality": "shall", "object": "notice of violation with specified content", "conditions": [ "must specify nature of violation", "must include evidence supporting allegation", "must state proposed penalty amount and calculation method", "must inform of right to make representations" ] }, "applicability": "All civil penalty proceedings initiated by the Competent Authority.", "severity": "high", "category": "Enforcement Procedures", "source_ref": { "page": 85, "clause": "Section 4.1", "text_snippet": "The Competent Authority shall issue a notice of violation specifying: (i) The nature of the violation; (ii) The evidence supporting the allegation; (iii) The proposed penalty amount and calculation method; and (iv) The right to make representations." } }, { "rule_id": "STD-2024-085-001", "title": "Establishment of Base Penalty Schedule", "rule_type": "obligation", "summary": "The Competent Authority must establish a schedule of base penalty amounts for different violation types, considering nature of violation, potential public harm, and regulated sector characteristics.", "core_obligation": { "actor": "Competent Authority", "action": "establish a schedule of base amounts for different types of violations", "modality": "shall", "object": "schedule of base penalty amounts", "conditions": [ "considering the nature of the violation", "considering the potential harm to public interests", "considering the regulated sector and typical entity size" ] }, "applicability": "Competent Authority responsible for civil penalty enforcement", "severity": "high", "category": "Enforcement Framework", "source_ref": { "page": 85, "clause": "Section 3.1", "text_snippet": "The Competent Authority shall establish a schedule of base amounts for different types of violations, considering: (i) The nature of the violation; (ii) The potential harm to public interests; (iii) The regulated sector and typical entity size." } }, { "rule_id": "STD-2024-085-002", "title": "Penalty Adjustment Factors", "rule_type": "power", "summary": "The Competent Authority has discretion to adjust base penalty amounts based on seven specified factors including culpability, violation history, financial capacity, cooperation, and remedial actions.", "core_obligation": { "actor": "Competent Authority", "action": "adjust the base penalty amount", "modality": "may", "object": "base penalty amount", "conditions": [ "based on violator's culpability (negligence, recklessness, or intentional action)", "based on history of previous violations", "based on financial capacity of the violator", "based on annual turnover of the responsible legal entity or group", "based on cooperation with authorities during investigation", "based on self-reporting of violations", "based on remedial actions taken" ] }, "applicability": "All civil penalty calculations by the Competent Authority", "severity": "medium", "category": "Enforcement Framework", "source_ref": { "page": 85, "clause": "Section 3.2", "text_snippet": "The base amount may be adjusted based on: (i) The violator's culpability... (vii) Remedial actions taken." } }, { "rule_id": "STD-2024-085-003", "title": "Economic Benefit Recovery Requirement", "rule_type": "obligation", "summary": "Penalties must include an amount equivalent to any economic benefit the violator derived from the violation, including avoided costs, illegal profits, and competitive advantages gained.", "core_obligation": { "actor": "Competent Authority", "action": "include economic benefit amount in penalty calculation", "modality": "shall", "object": "penalty amount", "conditions": [ "including costs avoided by non-compliance", "including profits gained through illegal activities", "including competitive advantage obtained over compliant entities" ] }, "applicability": "All civil monetary penalties where economic benefit was derived from violation", "severity": "high", "category": "Enforcement Framework", "source_ref": { "page": 85, "clause": "Section 3.3", "text_snippet": "The penalty shall include an amount equivalent to any economic benefit derived from the violation, including: (i) Costs avoided by non-compliance; (ii) Profits gained through illegal activities; and (iii) Competitive advantage obtained over compliant entities." } }, { "rule_id": "STD-2024-085-004", "title": "Maximum Penalty Limits for Individuals", "rule_type": "constraint", "summary": "Civil penalties imposed on individuals are capped at the higher of: (a) a specified amount [X], or (b) a specified percentage [Y%] of the individual's annual income.", "core_obligation": { "actor": "Competent Authority", "action": "limit penalties for individuals", "modality": "constraint", "object": "monetary penalty for individuals", "conditions": [ "up to [X] amount or [Y]% of annual income", "whichever is higher applies" ] }, "applicability": "All civil penalties imposed on individual violators", "severity": "critical", "category": "Enforcement Framework", "source_ref": { "page": 85, "clause": "Section 3.4(a)", "text_snippet": "For individuals: Up to [X] amount or [Y]% of annual income, whichever is higher." } }, { "rule_id": "STD-2024-085-005", "title": "Maximum Penalty Limits for Legal Entities", "rule_type": "constraint", "summary": "Civil penalties imposed on legal entities are capped at the higher of: (a) a specified percentage [Z%] of annual global turnover of the entity or group, or (b) a specified multiple [W times] of the benefit derived from the violation.", "core_obligation": { "actor": "Competent Authority", "action": "limit penalties for legal entities", "modality": "constraint", "object": "monetary penalty for legal entities", "conditions": [ "up to [Z]% of annual global turnover of the responsible legal entity or group", "or [W] times the benefit derived from the violation", "whichever is higher applies" ] }, "applicability": "All civil penalties imposed on legal entity violators", "severity": "critical", "category": "Enforcement Framework", "source_ref": { "page": 85, "clause": "Section 3.4(b)", "text_snippet": "For legal entities: Up to [Z]% of annual global turnover of the responsible legal entity or of the group of legal entities to which the responsible legal entity belongs or [W] times the benefit derived from the violation, whichever is higher." } }, { "rule_id": "STD-2024-086", "title": "Right to Submit Representations", "rule_type": "obligation", "summary": "Alleged violators have the right to submit written representations within a specified timeframe, including challenges to facts, mitigating circumstances, compliance efforts, and financial information.", "core_obligation": { "actor": "Alleged violator", "action": "submit written representations", "modality": "shall have right", "object": "written representations", "conditions": [ "within [X] days", "may include challenges to factual basis", "may include mitigating circumstances", "may include evidence of compliance efforts", "may include financial information relevant to penalty calculation" ] }, "applicability": "All entities subject to civil penalty proceedings.", "severity": "high", "category": "Procedural Rights", "source_ref": { "page": 85, "clause": "Section 4.2", "text_snippet": "The alleged violator shall have [X] days to submit written representations; Representations may include: (i) Challenges to the factual basis of the allegation; (ii) Mitigating circumstances; (iii) Evidence of compliance efforts; (iv) Financial information relevant to penalty calculation." } }, { "rule_id": "STD-2024-086-002", "title": "Installment Payment Authority", "rule_type": "power", "summary": "The Competent Authority has discretion to allow payment of large penalties in installments.", "core_obligation": { "actor": "Competent Authority", "action": "allow installment payments", "modality": "may", "object": "penalties exceeding threshold amount", "conditions": [ "for penalties exceeding [Y] amount" ] }, "applicability": "Penalties exceeding the specified threshold amount [Y].", "severity": "medium", "category": "Enforcement", "source_ref": { "page": 86, "clause": "Section 5.1(b)", "text_snippet": "The Competent Authority may allow payment in installments for penalties exceeding [Y] amount" } }, { "rule_id": "STD-2024-086-003", "title": "Interest on Unpaid Penalties", "rule_type": "sanction", "summary": "Interest automatically accrues on unpaid penalties at a specified annual rate.", "core_obligation": { "actor": "Penalized Entity", "action": "pay interest on unpaid penalties", "modality": "shall", "object": "accrued interest", "conditions": [ "at [Z]% per annum", "on unpaid penalty amounts" ] }, "applicability": "All entities with unpaid penalties after the payment deadline.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 86, "clause": "Section 5.2(a)", "text_snippet": "Interest shall accrue on unpaid penalties at [Z]% per annum" } }, { "rule_id": "STD-2024-086-004", "title": "Additional Late Payment Charges", "rule_type": "power", "summary": "The Competent Authority may impose additional administrative charges for late payment of penalties.", "core_obligation": { "actor": "Competent Authority", "action": "impose additional administrative charges", "modality": "may", "object": "administrative charges", "conditions": [ "for late payment of penalties" ] }, "applicability": "Entities that fail to pay penalties within the specified timeframe.", "severity": "medium", "category": "Financial Sanctions", "source_ref": { "page": 86, "clause": "Section 5.2(b)", "text_snippet": "Additional administrative charges may be imposed for late payment" } }, { "rule_id": "STD-2024-086-005", "title": "Judgment Debt Registration", "rule_type": "power", "summary": "The Competent Authority may register unpaid penalties as judgment debts for legal enforcement.", "core_obligation": { "actor": "Competent Authority", "action": "register penalty as judgment debt", "modality": "may", "object": "unpaid penalty", "conditions": [ "as enforcement measure for non-payment" ] }, "applicability": "Entities with unpaid penalties subject to enforcement action.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 86, "clause": "Section 5.3(a)(i)", "text_snippet": "Register the penalty as a judgment debt" } }, { "rule_id": "STD-2024-086-006", "title": "Asset Seizure for Penalty Recovery", "rule_type": "power", "summary": "The Competent Authority may seize assets to satisfy unpaid penalties.", "core_obligation": { "actor": "Competent Authority", "action": "seize assets", "modality": "may", "object": "entity assets", "conditions": [ "to satisfy unpaid penalty amounts" ] }, "applicability": "Entities with unpaid penalties subject to enforcement action.", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 86, "clause": "Section 5.3(a)(ii)", "text_snippet": "Seize assets to satisfy the penalty" } }, { "rule_id": "STD-2024-086-007", "title": "License Suspension or Revocation for Non-Payment", "rule_type": "power", "summary": "The Competent Authority may suspend or revoke licenses until penalties are paid.", "core_obligation": { "actor": "Competent Authority", "action": "suspend or revoke licenses", "modality": "may", "object": "operating licenses", "conditions": [ "until payment of penalty is made" ] }, "applicability": "Licensed entities with unpaid penalties.", "severity": "critical", "category": "Enforcement", "source_ref": { "page": 86, "clause": "Section 5.3(a)(iii)", "text_snippet": "Suspend or revoke licenses until payment is made" } }, { "rule_id": "STD-2024-086-008", "title": "Public Disclosure of Non-Compliant Entities", "rule_type": "power", "summary": "The Competent Authority may publicly disclose the names of entities with unpaid penalties.", "core_obligation": { "actor": "Competent Authority", "action": "publish names of non-compliant entities", "modality": "may", "object": "entity names and unpaid penalty information", "conditions": [ "for entities with unpaid penalties" ] }, "applicability": "Entities with unpaid penalties subject to public disclosure.", "severity": "high", "category": "Enforcement", "source_ref": { "page": 86, "clause": "Section 5.3(a)(iv)", "text_snippet": "Publish the names of entities with unpaid penalties" } }, { "rule_id": "STD-2024-087", "title": "Mandatory Consideration of Representations", "rule_type": "obligation", "summary": "The Competent Authority must consider all representations submitted before making a final determination on civil penalties.", "core_obligation": { "actor": "Competent Authority", "action": "consider all representations", "modality": "shall", "object": "representations submitted by alleged violator", "conditions": [ "before making final determination" ] }, "applicability": "All civil penalty determinations where representations have been submitted.", "severity": "high", "category": "Enforcement Procedures", "source_ref": { "page": 85, "clause": "Section 4.3(a)", "text_snippet": "The Competent Authority shall consider all representations before making a final determination." } }, { "rule_id": "STD-2024-088", "title": "Final Determination Communication Requirements", "rule_type": "obligation", "summary": "The Competent Authority must communicate the final determination in writing, including facts found, legal basis, final penalty calculation, payment terms, and appeal rights.", "core_obligation": { "actor": "Competent Authority", "action": "communicate final determination in writing", "modality": "shall", "object": "written final determination", "conditions": [ "must include facts found", "must include legal basis for penalty", "must include final penalty amount and calculation", "must include payment terms and appeal rights" ] }, "applicability": "All final determinations in civil penalty proceedings.", "severity": "high", "category": "Enforcement Procedures", "source_ref": { "page": 85, "clause": "Section 4.3(b)", "text_snippet": "The final determination shall be communicated in writing, including: (i) The facts found; (ii) The legal basis for the penalty; (iii) The final penalty amount and calculation; and (iv) Payment terms and appeal rights." } }, { "rule_id": "STD-2024-089", "title": "Settlement Procedure Establishment Power", "rule_type": "power", "summary": "The Competent Authority may establish procedures for settlement of cases, allowing entities to admit violations, accept reduced penalties, agree to compliance measures, and avoid formal proceedings.", "core_obligation": { "actor": "Competent Authority", "action": "establish settlement procedures", "modality": "may", "object": "settlement procedures for civil penalty cases", "conditions": [ "allowing entities to admit violations and accept reduced penalty", "allowing entities to agree to specific compliance measures", "allowing entities to avoid formal enforcement proceedings" ] }, "applicability": "Civil penalty cases where the Competent Authority chooses to offer settlement options.", "severity": "medium", "category": "Enforcement Procedures", "source_ref": { "page": 85, "clause": "Section 4.4(a)", "text_snippet": "The Competent Authority may establish procedures for the settlement of cases, allowing entities to: (i) Admit to violations and accept a reduced penalty; (ii) Agree to specific compliance measures; (iii) Avoid formal enforcement proceedings." } }, { "rule_id": "STD-2024-091", "title": "Corporate Liability for Offences by Leading Persons", "rule_type": "obligation", "summary": "Legal persons shall be held liable for offences committed for their benefit by persons in leading positions who have power of representation, decision-making authority, or control authority.", "core_obligation": { "actor": "Legal persons", "action": "be held liable for offences", "modality": "shall", "object": "offences under this Act", "conditions": [ "committed for their benefit", "by person with leading position", "person has power of representation OR authority to make decisions OR authority to exercise control", "person acting individually or as part of organ" ] }, "applicability": "All legal persons subject to this Act where persons in leading positions commit offences for the legal person's benefit.", "severity": "critical", "category": "Corporate Liability", "source_ref": [ { "page": 7, "clause": "Section 9.1", "text_snippet": "Legal persons shall be held liable for offences under this Act committed for their benefit by any person who has a leading position...", "_origin_rule_id": "STD-2024-091" }, { "page": 7, "clause": "Section 9.2", "text_snippet": "Legal persons shall also be held liable where the lack of supervision or control by a person referred to in subsection 9.1...", "_origin_rule_id": "STD-2024-092" } ], "_merge_count": 2 }, { "rule_id": "STD-2024-093", "title": "Non-Exclusion of Individual Criminal Liability", "rule_type": "obligation", "summary": "Corporate liability under sections 9.1 and 9.2 shall not exclude criminal proceedings against natural persons who are perpetrators, inciters, or accessories.", "core_obligation": { "actor": "Legal system/Courts", "action": "not exclude criminal proceedings against natural persons", "modality": "shall not", "object": "criminal proceedings", "conditions": [ "despite corporate liability under 9.1 and 9.2", "against perpetrators, inciters or accessories" ] }, "applicability": "All cases where both corporate and individual liability may apply.", "severity": "high", "category": "Corporate Liability", "source_ref": { "page": 7, "clause": "Section 9.3", "text_snippet": "Liability of a legal person under subsections 9.1 and 9.2 shall not exclude criminal proceedings against natural persons..." } }, { "rule_id": "STD-2024-094A", "title": "Definition of 'Benefit' for Corporate Liability", "rule_type": "definition", "summary": "Benefit includes direct financial gain, other economic advantages, and non-economic benefits such as reputational enhancement.", "core_obligation": { "actor": "Courts/Interpreters", "action": "interpret 'benefit' broadly", "modality": "definitional", "object": "term 'benefit'", "conditions": [ "includes direct financial gain", "includes other economic advantages", "includes non-economic benefits (e.g., reputational enhancement)" ] }, "applicability": "Interpretation of corporate liability provisions in sections 9.1 and 9.2.", "severity": "medium", "category": "Definitions", "source_ref": { "page": 7, "clause": "Section 9.4(a)", "text_snippet": "Benefit includes direct financial gain, other economic advantages, and non-economic benefits such as reputational enhancement" } }, { "rule_id": "STD-2024-094B", "title": "Definition of 'Leading Position'", "rule_type": "definition", "summary": "Leading position shall be determined based on actual authority and responsibility, regardless of formal title or position.", "core_obligation": { "actor": "Courts/Interpreters", "action": "determine leading position based on actual authority", "modality": "shall", "object": "determination of 'leading position'", "conditions": [ "based on actual authority and responsibility", "regardless of formal title or position" ] }, "applicability": "Determination of whether a person holds a leading position for purposes of sections 9.1 and 9.2.", "severity": "medium", "category": "Definitions", "source_ref": { "page": 7, "clause": "Section 9.4(b)", "text_snippet": "Leading position shall be determined based on the actual authority and responsibility of the individual, regardless of their formal title..." } }, { "rule_id": "STD-2024-095", "title": "Court Considerations for Corporate Liability Determination", "rule_type": "obligation", "summary": "Courts shall consider five specific factors when determining liability of a legal person: nature/gravity of offence, damage extent, cooperation level, compliance programs, and prior offences.", "core_obligation": { "actor": "Court", "action": "consider specified factors in determining liability", "modality": "shall", "object": "liability determination of legal person", "conditions": [ "nature and gravity of the offence", "extent of damage caused", "level of cooperation with investigating authorities", "existence and effectiveness of compliance programs or preventive measures", "any prior offences by the legal person" ] }, "applicability": "All court proceedings determining corporate liability under this Act.", "severity": "high", "category": "Judicial Procedure", "source_ref": { "page": 7, "clause": "Section 9.5", "text_snippet": "In determining the liability of a legal person, the court shall consider: (a) The nature and gravity of the offence..." } }, { "rule_id": "STD-2024-096", "title": "Competent Authority Obligation to Issue Corporate Liability Guidelines", "rule_type": "obligation", "summary": "The Competent Authority shall issue guidelines on interpretation and application of corporate liability, including best practice examples for prevention.", "core_obligation": { "actor": "Competent Authority", "action": "issue guidelines", "modality": "shall", "object": "guidelines on corporate liability interpretation and application", "conditions": [ "covering interpretation and application of corporate liability", "including examples of best practices for preventing liability" ] }, "applicability": "Competent Authority responsible for administering this Act.", "severity": "medium", "category": "Regulatory Guidance", "source_ref": { "page": 7, "clause": "Section 9.6", "text_snippet": "The Competent Authority shall issue guidelines on the interpretation and application of corporate liability under this Act..." } }, { "rule_id": "STD-2024-097", "title": "Competent Authority Obligation to Establish Compliance Program Standards", "rule_type": "obligation", "summary": "The Competent Authority shall establish minimum standards for compliance programs that may serve as mitigating factors in liability determination.", "core_obligation": { "actor": "Competent Authority", "action": "establish minimum standards", "modality": "shall", "object": "minimum standards for compliance programs", "conditions": [ "if met, may serve as mitigating factors", "in determining liability under this Act" ] }, "applicability": "Competent Authority responsible for administering this Act.", "severity": "medium", "category": "Regulatory Standards", "source_ref": { "page": 7, "clause": "Section 9.7", "text_snippet": "The Competent Authority shall establish minimum standards for compliance programs that, if met, may serve as mitigating factors..." } }, { "rule_id": "STD-2024-13.1", "title": "Material Scope of Application", "rule_type": "definition", "summary": "This Act applies to all activities related to the specified subject matter, including research, manufacturing, services, import/export, marketing, disposal, and actions affecting State X entities or public servants.", "core_obligation": { "actor": "All entities conducting relevant activities", "action": "fall within the scope of this Act", "modality": "applies to", "object": "activities related to specific subject matter including R&D, manufacturing, services, import/export, marketing, disposal, and actions affecting State X", "conditions": [ "activities related to specified subject matter", "includes actions by/regarding State X public servants regardless of location", "includes actions negatively affecting State X public or private entities", "includes actions negatively affecting foreign public entities where agents/principals reside in State X or are State X citizens/legal persons" ] }, "applicability": "All entities engaged in activities related to the specified subject matter, with extraterritorial reach for actions affecting State X interests.", "severity": "high", "category": "Scope and Jurisdiction", "source_ref": { "page": 9, "clause": "Section 13.1", "text_snippet": "This Act applies to all activities related to [specific subject matter]..." } }, { "rule_id": "STD-2024-13.2", "title": "Commercial and Non-Commercial Activities Coverage", "rule_type": "definition", "summary": "The Act applies to both commercial and non-commercial activities falling within its material scope.", "core_obligation": { "actor": "All entities conducting activities within scope", "action": "are subject to this Act", "modality": "applies to", "object": "both commercial and non-commercial activities", "conditions": [ "activities must fall within the Act's scope" ] }, "applicability": "All commercial and non-commercial entities operating within the defined scope.", "severity": "medium", "category": "Scope and Jurisdiction", "source_ref": { "page": 9, "clause": "Section 13.2", "text_snippet": "This Act applies to both commercial and non-commercial activities falling within its scope." } }, { "rule_id": "STD-2024-13.3", "title": "Authority to Issue Clarifying Guidelines", "rule_type": "power", "summary": "The Competent Authority has the power to issue guidelines clarifying the application of this Act to specific activities or sectors.", "core_obligation": { "actor": "Competent Authority", "action": "issue guidelines", "modality": "may", "object": "guidelines clarifying application to specific activities or sectors", "conditions": [] }, "applicability": "Competent Authority when clarification of Act's application is needed.", "severity": "medium", "category": "Administrative Powers", "source_ref": { "page": 9, "clause": "Section 13.3", "text_snippet": "The Competent Authority may issue guidelines clarifying the application of this Act to specific activities or sectors." } }, { "rule_id": "STD-2024-13.4", "title": "Annual Scope Review and Update Obligation", "rule_type": "obligation", "summary": "The Competent Authority must review and update the scope of activities covered by this Act annually to ensure coverage of emerging technologies and practices.", "core_obligation": { "actor": "Competent Authority", "action": "review and update the scope of activities", "modality": "shall", "object": "scope of activities covered by this Act", "conditions": [ "annually", "to ensure it encompasses emerging technologies and practices related to subject matter" ] }, "applicability": "Competent Authority on an annual basis.", "severity": "high", "category": "Compliance and Monitoring", "source_ref": { "page": 9, "clause": "Section 13.4", "text_snippet": "The Competent Authority shall review and update the scope of activities covered by this Act annually..." } }, { "rule_id": "STD-2024-13.5", "title": "Multi-Framework Coordination Requirement", "rule_type": "obligation", "summary": "When an activity falls under multiple regulatory frameworks, this Act applies in conjunction with other legislation, and the Competent Authority must coordinate with other regulatory bodies for consistent oversight.", "core_obligation": { "actor": "Competent Authority", "action": "coordinate with other regulatory bodies", "modality": "shall", "object": "consistent and comprehensive oversight", "conditions": [ "where an activity falls under multiple regulatory frameworks", "this Act shall apply in conjunction with other relevant legislation" ] }, "applicability": "Competent Authority when activities are subject to multiple regulatory frameworks.", "severity": "high", "category": "Regulatory Coordination", "source_ref": { "page": 9, "clause": "Section 13.5", "text_snippet": "Where an activity falls under multiple regulatory frameworks, this Act shall apply in conjunction with other relevant legislation, with the Competent Authority coordinating..." } }, { "rule_id": "STD-2024-23.1", "title": "Prohibition on Unlicensed Activity", "rule_type": "obligation", "summary": "No person may engage in regulated activity without a valid license issued under this Act.", "core_obligation": { "actor": "Any person", "action": "engage in regulated activity", "modality": "shall not", "object": "regulated activity", "conditions": [ "without a valid license issued under this Act" ] }, "applicability": "All persons seeking to engage in regulated activities under this Act.", "severity": "critical", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.1", "text_snippet": "No person shall engage in [regulated activity] without a valid license issued under this Act." } }, { "rule_id": "STD-2024-23.2a", "title": "License Application Processing Responsibility", "rule_type": "obligation", "summary": "The Competent Authority must receive and process license applications.", "core_obligation": { "actor": "Competent Authority", "action": "receive and process license applications", "modality": "shall", "object": "license applications", "conditions": [] }, "applicability": "Competent Authority designated under this Act.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.2(a)", "text_snippet": "The Competent Authority shall be responsible for: (a) Receiving and processing license applications" } }, { "rule_id": "STD-2024-23.2b", "title": "License Lifecycle Management Responsibility", "rule_type": "obligation", "summary": "The Competent Authority must issue, renew, suspend, and revoke licenses.", "core_obligation": { "actor": "Competent Authority", "action": "issue, renew, suspend, and revoke licenses", "modality": "shall", "object": "licenses", "conditions": [] }, "applicability": "Competent Authority designated under this Act.", "severity": "high", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.2(b)", "text_snippet": "The Competent Authority shall be responsible for: (b) Issuing, renewing, suspending, and revoking licenses" } }, { "rule_id": "STD-2024-23.3", "title": "License Type Classification", "rule_type": "definition", "summary": "Defines four types of licenses: Standard, Restricted, Temporary, and Special, each with different scopes of permitted activities.", "core_obligation": { "actor": "Competent Authority", "action": "classify and issue licenses according to type", "modality": "shall", "object": "licenses", "conditions": [ "Standard License: for [activities to be specified]", "Restricted License: for [limited activities to be specified]", "Temporary License: valid for period not exceeding [X] months", "Special License: for [unique or high-risk activities to be specified]" ] }, "applicability": "All license applications and issuances under this Act.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.3", "text_snippet": "23.3 Types of Licenses: (a) Standard License: for [describe activities]; (b) Restricted License: for [describe limited activities]; (c) Temporary License: valid for a period not exceeding [X] months; and (d) Special License: for [describe unique or high-risk activities]." } }, { "rule_id": "STD-2024-23.4a", "title": "Standard and Restricted License Validity Period", "rule_type": "definition", "summary": "Standard and Restricted Licenses are valid for [X] years from the date of issue.", "core_obligation": { "actor": "License holder", "action": "operate under license validity period", "modality": "shall", "object": "Standard or Restricted License", "conditions": [ "valid for [X] years from date of issue" ] }, "applicability": "Holders of Standard and Restricted Licenses.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.4(a)", "text_snippet": "Standard and Restricted Licenses shall be valid for [X] years from the date of issue" } }, { "rule_id": "STD-2024-23.4b", "title": "Temporary License Validity Period", "rule_type": "definition", "summary": "Temporary Licenses are valid for the specified period, not exceeding [X] months.", "core_obligation": { "actor": "License holder", "action": "operate under license validity period", "modality": "shall", "object": "Temporary License", "conditions": [ "valid for specified period", "not exceeding [X] months" ] }, "applicability": "Holders of Temporary Licenses.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.4(b)", "text_snippet": "Temporary Licenses shall be valid for the period specified, not exceeding [X] months" } }, { "rule_id": "STD-2024-23.4c", "title": "Special License Validity Period", "rule_type": "definition", "summary": "Special Licenses are valid for the period specified by the Competent Authority, not exceeding [X] years.", "core_obligation": { "actor": "License holder", "action": "operate under license validity period", "modality": "shall", "object": "Special License", "conditions": [ "valid for period specified by Competent Authority", "not exceeding [X] years" ] }, "applicability": "Holders of Special Licenses.", "severity": "medium", "category": "Licensing", "source_ref": { "page": 14, "clause": "Section 23.4(c)", "text_snippet": "Special Licenses shall be valid for the period specified by the Competent Authority, not exceeding [X] years." } }, { "rule_id": "STD-2024-3.1", "title": "Prohibition on Postponing Precautionary Measures Due to Scientific Uncertainty", "rule_type": "obligation", "summary": "When there is a threat of serious or irreversible damage, lack of full scientific certainty shall not be used as justification to postpone cost-effective preventive measures.", "core_obligation": { "actor": "Regulatory decision-makers / Competent Authority", "action": "not postpone cost-effective measures to prevent damage", "modality": "shall not", "object": "cost-effective preventive measures", "conditions": [ "threat of serious or irreversible damage exists", "lack of full scientific certainty present" ] }, "applicability": "All situations involving threats of serious or irreversible damage to protected interests (e.g., public health, environment).", "severity": "high", "category": "Risk Management / Precautionary Principle", "source_ref": { "page": 4, "clause": "Section 3.1", "text_snippet": "Where there is a threat of serious or irreversible damage... lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures..." } }, { "rule_id": "STD-2024-3.2", "title": "Competent Authority Obligations in Applying Precautionary Principle", "rule_type": "obligation", "summary": "The Competent Authority must follow a structured six-step process when applying the precautionary principle, including evaluation, assessment, proportionality analysis, cost-benefit examination, transparency, and ongoing review.", "core_obligation": { "actor": "Competent Authority", "action": "conduct preliminary evaluation, assess consequences, evaluate proportionality, examine costs/benefits, maintain transparency, and review measures", "modality": "shall", "object": "precautionary principle application process", "conditions": [ "when applying the precautionary principle" ] }, "applicability": "Competent Authority when making decisions under the precautionary principle.", "severity": "high", "category": "Procedural Requirements / Decision-Making", "source_ref": { "page": 4, "clause": "Section 3.2(a)-(f)", "text_snippet": "In applying the precautionary principle, the Competent Authority shall: (a) Conduct a preliminary evaluation... (f) Review the measures as new scientific data become available." } }, { "rule_id": "STD-2024-3.2(a)", "title": "Preliminary Evaluation of Scientific Uncertainty", "rule_type": "obligation", "summary": "The Competent Authority must conduct a preliminary evaluation to determine the level of scientific uncertainty.", "core_obligation": { "actor": "Competent Authority", "action": "conduct preliminary evaluation to ascertain scientific uncertainty level", "modality": "shall", "object": "preliminary evaluation of scientific uncertainty", "conditions": [] }, "applicability": "Competent Authority when applying precautionary principle.", "severity": "medium", "category": "Assessment / Due Diligence", "source_ref": { "page": 4, "clause": "Section 3.2(a)", "text_snippet": "Conduct a preliminary evaluation to ascertain the level of scientific uncertainty" } }, { "rule_id": "STD-2024-3.2(b)", "title": "Assessment of Consequences of Inaction", "rule_type": "obligation", "summary": "The Competent Authority must assess the potential consequences of not taking action.", "core_obligation": { "actor": "Competent Authority", "action": "assess potential consequences of inaction", "modality": "shall", "object": "consequences assessment", "conditions": [] }, "applicability": "Competent Authority when applying precautionary principle.", "severity": "high", "category": "Risk Assessment", "source_ref": { "page": 4, "clause": "Section 3.2(b)", "text_snippet": "Assess the potential consequences of inaction" } }, { "rule_id": "STD-2024-3.2(c)", "title": "Proportionality Evaluation of Precautionary Measures", "rule_type": "obligation", "summary": "The Competent Authority must evaluate whether proposed precautionary measures are proportional to the risk.", "core_obligation": { "actor": "Competent Authority", "action": "evaluate proportionality of proposed precautionary measures", "modality": "shall", "object": "proportionality evaluation", "conditions": [] }, "applicability": "Competent Authority when applying precautionary principle.", "severity": "medium", "category": "Proportionality Assessment", "source_ref": { "page": 4, "clause": "Section 3.2(c)", "text_snippet": "Evaluate the proportionality of the proposed precautionary measures" } }, { "rule_id": "STD-2024-3.2(d)", "title": "Economic Cost-Benefit Analysis Requirement", "rule_type": "obligation", "summary": "The Competent Authority must examine the economic costs and benefits of taking action versus inaction.", "core_obligation": { "actor": "Competent Authority", "action": "examine economic costs and benefits of action or inaction", "modality": "shall", "object": "economic cost-benefit analysis", "conditions": [] }, "applicability": "Competent Authority when applying precautionary principle.", "severity": "medium", "category": "Economic Analysis", "source_ref": { "page": 4, "clause": "Section 3.2(d)", "text_snippet": "Examine the economic costs and benefits of action or inaction" } }, { "rule_id": "STD-2024-3.2(e)", "title": "Transparency in Precautionary Decision-Making", "rule_type": "obligation", "summary": "The Competent Authority must maintain transparency throughout the decision-making process when applying the precautionary principle.", "core_obligation": { "actor": "Competent Authority", "action": "maintain transparency in decision-making process", "modality": "shall", "object": "transparent decision-making process", "conditions": [] }, "applicability": "Competent Authority when applying precautionary principle.", "severity": "medium", "category": "Transparency / Governance", "source_ref": { "page": 4, "clause": "Section 3.2(e)", "text_snippet": "Maintain transparency in the decision-making process" } }, { "rule_id": "STD-2024-3.2(f)", "title": "Ongoing Review of Precautionary Measures", "rule_type": "obligation", "summary": "The Competent Authority must review precautionary measures as new scientific data becomes available.", "core_obligation": { "actor": "Competent Authority", "action": "review measures as new scientific data become available", "modality": "shall", "object": "review of precautionary measures", "conditions": [ "when new scientific data become available" ] }, "applicability": "Competent Authority after implementing precautionary measures.", "severity": "medium", "category": "Monitoring / Review", "source_ref": { "page": 4, "clause": "Section 3.2(f)", "text_snippet": "Review the measures as new scientific data become available" } }, { "rule_id": "STD-2024-3.3", "title": "Mandatory Characteristics of Precautionary Measures", "rule_type": "obligation", "summary": "Precautionary measures must meet five mandatory criteria: proportionality, non-discrimination, consistency, cost-benefit basis, and subject to review.", "core_obligation": { "actor": "Implementing authorities / Competent Authority", "action": "ensure precautionary measures meet specified criteria", "modality": "shall be", "object": "precautionary measures", "conditions": [ "proportional to chosen protection level", "non-discriminatory in application", "consistent with similar existing measures", "based on examination of benefits and costs", "subject to review with new scientific data" ] }, "applicability": "All precautionary measures implemented under this framework.", "severity": "high", "category": "Implementation Standards / Quality Control", "source_ref": { "page": 4, "clause": "Section 3.3(a)-(e)", "text_snippet": "Precautionary measures shall be: (a) Proportional to the chosen level of protection... (e) Subject to review in the light of new scientific data." } }, { "rule_id": "STD-2024-3.3(a)", "title": "Proportionality Requirement for Precautionary Measures", "rule_type": "obligation", "summary": "Precautionary measures must be proportional to the chosen level of protection.", "core_obligation": { "actor": "Implementing authorities", "action": "ensure measures are proportional to protection level", "modality": "shall be", "object": "precautionary measures", "conditions": [ "proportional to chosen level of protection" ] }, "applicability": "All precautionary measures.", "severity": "medium", "category": "Proportionality", "source_ref": { "page": 4, "clause": "Section 3.3(a)", "text_snippet": "Proportional to the chosen level of protection" } }, { "rule_id": "STD-2024-3.3(b)", "title": "Non-Discrimination in Application of Precautionary Measures", "rule_type": "obligation", "summary": "Precautionary measures must be applied in a non-discriminatory manner.", "core_obligation": { "actor": "Implementing authorities", "action": "apply measures without discrimination", "modality": "shall be", "object": "precautionary measures", "conditions": [ "non-discriminatory in application" ] }, "applicability": "All precautionary measures.", "severity": "high", "category": "Non-Discrimination / Equal Treatment", "source_ref": { "page": 4, "clause": "Section 3.3(b)", "text_snippet": "Non-discriminatory in their application" } }, { "rule_id": "STD-2024-3.3(c)", "title": "Consistency Requirement for Precautionary Measures", "rule_type": "obligation", "summary": "Precautionary measures must be consistent with similar measures already taken.", "core_obligation": { "actor": "Implementing authorities", "action": "ensure consistency with existing similar measures", "modality": "shall be", "object": "precautionary measures", "conditions": [ "consistent with similar measures already taken" ] }, "applicability": "All precautionary measures.", "severity": "medium", "category": "Consistency / Coherence", "source_ref": { "page": 4, "clause": "Section 3.3(c)", "text_snippet": "Consistent with similar measures already taken" } }, { "rule_id": "STD-2024-3.3(d)", "title": "Cost-Benefit Basis for Precautionary Measures", "rule_type": "obligation", "summary": "Precautionary measures must be based on an examination of the potential benefits and costs of action or inaction.", "core_obligation": { "actor": "Implementing authorities", "action": "base measures on examination of benefits and costs", "modality": "shall be", "object": "precautionary measures", "conditions": [ "based on examination of potential benefits and costs of action or lack of action" ] }, "applicability": "All precautionary measures.", "severity": "medium", "category": "Economic Justification", "source_ref": { "page": 4, "clause": "Section 3.3(d)", "text_snippet": "Based on an examination of the potential benefits and costs of action or lack of action" } }, { "rule_id": "STD-2024-3.3(e)", "title": "Review Requirement for Precautionary Measures", "rule_type": "obligation", "summary": "Precautionary measures must be subject to review in light of new scientific data.", "core_obligation": { "actor": "Implementing authorities", "action": "subject measures to review based on new scientific data", "modality": "shall be", "object": "precautionary measures", "conditions": [ "in light of new scientific data" ] }, "applicability": "All precautionary measures.", "severity": "medium", "category": "Review / Adaptation", "source_ref": { "page": 4, "clause": "Section 3.3(e)", "text_snippet": "Subject to review in the light of new scientific data" } }, { "rule_id": "STD-2024-3.4", "title": "Establishment of Scientific Committee for Precautionary Principle", "rule_type": "obligation", "summary": "The Competent Authority must establish a scientific committee to provide advice on applying the precautionary principle in complex cases.", "core_obligation": { "actor": "Competent Authority", "action": "establish scientific committee", "modality": "shall", "object": "scientific committee", "conditions": [ "to advise on application of precautionary principle in complex cases" ] }, "applicability": "Competent Authority responsible for implementing precautionary principle framework.", "severity": "medium", "category": "Institutional Requirements / Governance", "source_ref": { "page": 4, "clause": "Section 3.4", "text_snippet": "The Competent Authority shall establish a scientific committee to advise on the application of the precautionary principle in complex cases." } }, { "rule_id": "STD-2024-801", "title": "Consolidated Version of Definitions and Legal Fictions", "rule_type": "obligation", "summary": "The Competent Authority must maintain a consolidated, publicly accessible version of all definitions and legal fictions, including any amendments.", "core_obligation": { "actor": "Competent Authority", "action": "maintain a consolidated version", "modality": "shall", "object": "all definitions and legal fictions, incorporating any amendments", "conditions": [ "must be freely accessible to the public" ] }, "applicability": "Competent Authority responsible for administering this Act.", "severity": "high", "category": "Transparency", "source_ref": { "page": 6, "clause": "Section 8.1", "text_snippet": "The Competent Authority shall maintain a consolidated version of all definitions and legal fictions, incorporating any amendments, which shall be freely accessible to the public." } }, { "rule_id": "STD-2024-802", "title": "Interpretative Decisions Database Maintenance", "rule_type": "obligation", "summary": "The Competent Authority must maintain and regularly update a publicly accessible database of interpretative decisions to ensure consistency and transparency.", "core_obligation": { "actor": "Competent Authority", "action": "maintain and regularly update", "modality": "shall", "object": "publicly accessible database of interpretative decisions", "conditions": [ "to ensure consistency and transparency in the application of this Act" ] }, "applicability": "Competent Authority responsible for administering this Act.", "severity": "high", "category": "Transparency", "source_ref": { "page": 6, "clause": "Section 8.2", "text_snippet": "The Competent Authority shall maintain and regularly update a publicly accessible database of interpretative decisions to ensure consistency and transparency in the application of this Act." } }, { "rule_id": "STD-2024-803", "title": "Database Functionality Requirements", "rule_type": "obligation", "summary": "The interpretative decisions database must include a search function and cross-referencing system to facilitate access and understanding.", "core_obligation": { "actor": "Competent Authority", "action": "include functionality features", "modality": "shall", "object": "search function and cross-referencing system in the interpretative decisions database", "conditions": [ "to facilitate easy access and understanding of related interpretations" ] }, "applicability": "Competent Authority maintaining the interpretative decisions database.", "severity": "medium", "category": "Technical Requirements", "source_ref": { "page": 6, "clause": "Section 8.3", "text_snippet": "The interpretative decisions database shall include a search function and cross-referencing system to facilitate easy access and understanding of related interpretations." } } ] }